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Jon Brake Fired from Wells Fargo Clearing Services

Jon Brake (CRD #: 4016829), a broker formerly registered with Wells Fargo Clearing Services, was fired from that firm, according to his BrokerCheck record, accessed on May 12, 2025. Read on if you have questions about his alleged conduct as a broker.

Termination from Wells Fargo Clearing Services

On February 28, 2025, Jon Brake was fired from Wells Fargo Clearing Services following allegations that he failed to meet branch operating standards concerning attendance, client servicing, and off-channel communications.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Jon Brake has passed the following exams:

  • Investment Company Products/Variable Contracts Representative Examination – Series 6TO
  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Uniform Investment Adviser Law Examination – Series 65
  • Uniform Securities Agent State Law Examination – Series 63

He previously worked for Wells Fargo Clearing Services (CRD#:19616) and DLJdirect (CRD#:42159).

Kurta Law Can Help

If you worked with Jon Brake and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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