JPMorgan Chase Bank Fires Dro Grigorian
Dro Grigorian (CRD #:6108266), a formerly registered broker, was recently fired by JPMorgan Chase Bank, according to his BrokerCheck record, accessed on February 2, 2022.
On October 8, 2021, JPMorgan Chase Bank fired Dro Grigorian. According to the firm allegations, while acting in the capacity of an affiliate bank employee, Dro Grigorian switched the primary and secondary names when opening a new affiliate bank account for existing customers, making the registered representative eligible for affiliate bank credit.
FINRA Rule 4511 requires each member to make and preserve books and records in conformity with Section 17(a) of the Exchange Act and Exchange Act Rule 17a-3. A registered representative who falsifies firm records causes the firm to maintain inaccurate books and records in violation of FINRA Rule 4511. FINRA Rule 4511 applies to customer account information, communications between brokers and investors, as well as records of written customer complaints.
Causing a FINRA-regulated broker-dealer to make or preserve inaccurate records also constitutes a violation of FINRA Rule 2010, which states that brokers must uphold high standards of commercial honor.
Dro Grigorian has passed the following exams:
- Series 63 - Uniform Securities Agent State Law Examination
- SIE - Securities Industry Essentials Examination
- Series 6 - Investment Company Products/Variable Contracts Representative Examination
Besides JP Morgan Securities (CRD #: 79), Dro Grigorian has also worked with Chase Investment Services Corp. (CRD#:25574)
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