This information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552.
Jon Eric Guay (CRD #2837453, Registered Representative, San Jose, California)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Guay consented to the described sanction and to the entry of findings that he received a approximately $225,000 from clients after making representations, which were not true, that he would use their funds to open a futures trading account or to invest in a company where the funds would earn 3 percent annually. Guay instead deposited the funds into a bank account under his control and made improper use of the funds, which included payment of personal expenses and trading in his personal futures accounts.
Jon Guay participated in a brokerage client’s securities transaction involving a $300,000 investment in a mutual fund. Guay failed to provide his firm with written notice about his plans to recommend and facilitate the mutual fund purchase, his role in doing so, or anticipated compensation he expected to receive.
(FINRA Case #2013035577901)
Jon Eric Guay was previously registered with FINRA at the following brokerage firms according to FINRA's BrokerCheck:
WUNDERLICH SECURITIES, INC.
CRD# 2543
MEMPHIS, TN
02/2011 - 01/2013
QA3 FINANCIAL CORP.
CRD# 14754
WALNUT CREEK, CA
05/2008 - 02/2011
CUNA BROKERAGE SERVICES, INC.
CRD# 13941
CONCORD, CA
10/2000 - 05/2008
This ends the information from FINRA’s website.
Please call Soreide Law Group for a free consultation with an attorney on how to potentially recover your losses: 888-760-6552.
This information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552.
Jon Eric Guay (CRD #2837453, Registered Representative, San Jose, California)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Guay consented to the described sanction and to the entry of findings that he received a approximately $225,000 from clients after making representations, which were not true, that he would use their funds to open a futures trading account or to invest in a company where the funds would earn 3 percent annually. Guay instead deposited the funds into a bank account under his control and made improper use of the funds, which included payment of personal expenses and trading in his personal futures accounts.
Jon Guay participated in a brokerage client’s securities transaction involving a $300,000 investment in a mutual fund. Guay failed to provide his firm with written notice about his plans to recommend and facilitate the mutual fund purchase, his role in doing so, or anticipated compensation he expected to receive.
(FINRA Case #2013035577901)
Jon Eric Guay was previously registered with FINRA at the following brokerage firms according to FINRA's BrokerCheck:
WUNDERLICH SECURITIES, INC.
CRD# 2543
MEMPHIS, TN
02/2011 - 01/2013
QA3 FINANCIAL CORP.
CRD# 14754
WALNUT CREEK, CA
05/2008 - 02/2011
CUNA BROKERAGE SERVICES, INC.
CRD# 13941
CONCORD, CA
10/2000 - 05/2008
This ends the information from FINRA’s website.
Please call Soreide Law Group for a free consultation with an attorney on how to potentially recover your losses: 888-760-6552.
Investors might have sustained financial harm through WestPark Capital Inc. [CRD: 39914, Los Angeles, California], according to publicly available information found on Financial Industry Regulatory Authority BrokerCheck. WestPark Capital has been registered with FINRA since 1996 and maintains its headquarters in Los Angeles, California. Keep reading to discover more about the regulatory action involving the […]
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com