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Wyman Sai Barred by FINRA

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
October 30, 2025 at 2:17am

Wyman Sai (CRD #: 7509743) has been barred by FINRA. This disclosure appears on his BrokerCheck record, accessed on October 29, 2025. Keep reading if you have questions regarding his alleged conduct.

Regulatory Action

On September 12, 2025, Wyman Sai entered into an Acceptance, Waiver, and Consent agreement (AWC), in which he consented to the findings that he refused to appear for on-the-record testimony requested by FINRA. His firm allegedly disclosed that it had terminated him for accessing a customer’s affiliate bank account without a business need. He also allegedly added his phone number and linked an external bank account to the customer’s account, and then entered inaccurate notes into an internal bank system related to customer authorization.

You can read a copy of the AWC here.

Employment Separation After Allegations

On March 25, 2025, JP Morgan fired Wyman Sai following allegations that he accessed a customer’s affiliate bank account without a business need using his personal cell phone.

Background Information

Wyman Sai has passed the following exams:

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination
  • Series 6TO Investment Company Products/Variable Contracts Representatives Examination

Kurta Law Can Help

If you worked with Wyman Sai 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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