{"id":11428,"date":"2024-07-25T11:36:47","date_gmt":"2024-07-25T15:36:47","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11428"},"modified":"2024-07-25T11:36:47","modified_gmt":"2024-07-25T15:36:47","slug":"broker-marion-adams-barred-after-misappropriation","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-marion-adams-barred-after-misappropriation\/","title":{"rendered":"Broker Marion Adams III Barred After Misappropriation of Client Estate Assets"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-11429 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/07\/Blog-Graphics14.png\" alt=\"Marion Adams III (Marion Strickler Adams CRD# 1392435, aka \u201cMa'on Adams\u201d) is a previously registered broker and investment advisor whose last employer was The Jeffrey Matthews Financial Group, L.L.C. (CRD# 41282) of Mobile, AL. His prior employers were Raymond James &amp; Associates, Inc. (CRD# 705) and Morgan Keegan &amp; Company, Inc. (CRD# 4161), also of Mobile. Adams has been in the industry since 1985.\n\nFINRA investigated after receiving the Form U5 sent in by Raymond James after they allowed Adams to voluntarily resign on 10\/7\/21. This followed allegations that Adams \u201cmay have misappropriated assets\u201d from a client\u2019s estate while previously acting as an executor for the estate. FINRA received the Form U5 on November 5, 2021, and sent a letter to Adams on December 22, 2023.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/07\/Blog-Graphics14.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/07\/Blog-Graphics14-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Marion Adams III (Marion Strickler Adams CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/1392435\" target=\"_blank\">1392435<\/a>, aka \u201cMa&#8217;on Adams\u201d) is a previously registered broker and investment advisor whose last employer was The Jeffrey Matthews Financial Group, L.L.C. (CRD# 41282) of Mobile, AL. His prior employers were Raymond James &amp; Associates, Inc. (CRD# 705) and Morgan Keegan &amp; Company, Inc. (CRD# 4161), also of Mobile. Adams has been in the industry since 1985. <a href=\"https:\/\/www.silverlaw.com\/blog\/broker-marion-adams-barred-after-misappropriation\/#more-11428\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Marion Adams III (Marion Strickler Adams CRD# 1392435, aka \u201cMa&#8217;on Adams\u201d) is a previously registered broker and investment advisor whose last employer was The Jeffrey Matthews Financial Group, L.L.C. (CRD# 41282) of Mobile, AL. His prior employers were Raymond James &amp; Associates, Inc. (CRD# 705) and Morgan Keegan &amp; Company, Inc. (CRD# 4161), also of [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-11428","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Broker Marion Adams Barred After Misappropriation<\/title>\n<meta name=\"description\" content=\"Marion Adams III is a previously registered broker and investment advisor whose last employer was The Jeffrey Matthews Financial Group.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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