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.
Summit Brokerage and Independent Financial Group each appear on a pending customer claim naming Gilbert Conrad (CRD 2746778). Both claims are unproven allegations. His BrokerCheck report also lists settled disputes at Arkadios Capital and Independent Financial Group.
On August 6, 2026, a customer filed a $400,000 FINRA arbitration naming Chad McQuade (CRD 5436281) and Northwestern Mutual. The claim involves outside, third-party real estate investments. It is pending, and McQuade disputes it in a written response.
Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
Phone:
Fax: 1-954-760-6553
Email: [email protected]