Investor Alleges Jonathan Wade Failed to Follow Instructions

Jonathan Wade (CRD #: 1614237), a broker registered with Wells Fargo Clearing Services, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on May 27, 2025. Investors may have also engaged his services through Wells Fargo Advisors. Keep reading if you want to know more about his alleged conduct as a broker.

Investor Dispute

On February 21, 2025, an investor alleged that Jonathan Wade failed to follow their instructions in May 2022, resulting in income tax consequences. The client seeks $413,500.80 in this pending dispute.

FINRA Rule 2010

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

Background Information

Jonathan Wade has passed the following exams:

• General Securities Sales Supervisor – Options Module Examination – Series 9
• General Securities Sales Supervisor – General Module Examination – Series 10
• General Securities Sales Supervisor Examination (Options Module & General Module) – Series 8
• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Uniform Combined State Law Examination – Series 66
• Uniform Investment Adviser Law Examination – Series 65
• Uniform Securities Agent State Law Examination – Series 63

Jonathan Wade is a registered broker in 25 states and the District of Columbia. He is also a registered investment adviser in New York.

He has also worked for the following firms:

• First Albany Corporation (CRD#:298)
• Fahnestock & Company (CRD#:249)
• Fahnestock International (CRD#:279)

Kurta Law Can Help

If you worked with Jonathan Wade 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.