Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Wade (Wade), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wade recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $413,500.80 on February 21, 2025.
Claimant alleges that in May 2022, the FA failed to follow instructions which resulted in unnecessary income taxes.
