Jonathan Walter Way was a broker registered with Wedbush Securities in Napa, California. According to a June 2023 FINRA Letter of Acceptance, Waiver, and Consent, he was recently barred from FINRA for failing to provide information and documents for a FINRA investigation into his sales practices.
Peiffer Wolf is currently investigating claims against Jonathan Walter Way of Wedbush Securities for allegedly excessively trading client accounts, putting clients in unsuitable investments, and/or other sales practice violations.
According to FINRA’s BrokerCheck, Jonathan Walter Way has been the subject of 5 disclosures, including two settled Customer Disputes and one pending Customer Dispute with allegations of excessive, unauthorized, and unsuitable trading.
In 1995, Jonathan Walter Way was permitted to resign from Smith Barney after a customer complaint. In 1999, he was denied a securities salesman license in the state of Ohio for being “not of good business repute.”
Jonathan Walter Way was registered as a broker with Wedbush Securities from 2002 to 2022. Before he was registered with Wedbush Securities, he was registered with Ryan Beck & Co. in Florham Park, New Jersey.
If you invested with Jonathan Walter Way and have suffered losses in your investment portfolio, you should Contact Peiffer Wolf immediately.
To review Jonathan Walter Way’s Brokercheck report, click here: https://brokercheck.finra.org/individual/summary/1126849
*BrokerCheck is run by the Financial Industry Regulatory Authority, Inc. (FINRA)
Jonathan Walter Way Client?
Financial advisors (brokers) have a legal obligation and regulatory obligation to recommend only suitable investments that are appropriate for their clients. Their broker-dealer (employing brokerage firm) has a legal and regulatory obligation to supervise the financial advisor’s sales practices and dealings with clients. To the extent that any of these duties are breached, the customer may be entitled to a recovery of their investment losses.
Based on our experience, we believe that some investors may have been the victims of Jonathan Walter Way’s alleged broker misconduct and investment fraud. If you invested with Jonathan Walter Way of Wedbush Securities, contact Peiffer Wolf immediately for a FREE Consultation 585-310-5140.
If you believe you were a victim of investment fraud or broker misconduct, it is imperative to take action. Peiffer Wolf has represented thousands of victims, and we remain committed to fighting on behalf of investors.
Peiffer Wolf is currently investigating claims against Jonathan Walter Way of Wedbush Securities for his alleged excessive trading of customer accounts and unsuitable recommendations to customers. If you’ve invested with Jonathan Walter Way, Contact Us by calling 585-310-5140 or by filling out an online Contact Form for a FREE Consultation.
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