FINRA sanctioned securities broker Jay Deron Zornes [CRD: 4124536, Ironton, Ohio], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jay Zornes worked for Cambridge Investment Research Inc. from March 5, 2014, to May 19, 2025. See below to learn more about the disclosures involving Jay Zornes.
Specifically, on January 13, 2026, FINRA issued Case: 2025086101601 barring Jay Zornes. Notably, FINRA alleged that Zornes refused to provide information, documents, and testimony requested during an investigation concerning whether he used unapproved communication channels to communicate with clients.
According to FINRA, the investigation began after Cambridge Investment Research Inc. filed a Form U5 stating that Zornes was permitted to resign while under investigation concerning the alleged use of unapproved email addresses and an unapproved text messaging number to communicate with clients. FINRA subsequently opened an investigation into the circumstances described in the Form U5 filing.
FINRA alleged that it sent requests to Zornes on October 31, 2025, seeking information and documents according to FINRA Rule 8210 in connection with its investigation. According to FINRA, the regulator also requested on November 11, 2025, that Zornes appear for testimony according to FINRA Rule 8210. FINRA stated that Zornes acknowledged receiving the requests but advised the regulator that he would not produce the requested materials or appear for testimony.
According to FINRA, refusing to provide requested information and testimony constituted alleged violations of FINRA Rule 8210 and Rule 2010.
The records indicate that Cambridge Investment Research Inc. filed a Form U5 reporting that Zornes resigned while under investigation relating to the alleged use of unauthorized communication methods with clients. Specifically, the filing referenced alleged use of unapproved email addresses and an unapproved text messaging number.
As part of the resolution, Zornes consented to a bar from associating with any FINRA member in all capacities. The matter was resolved through a Letter of Acceptance, Waiver, and Consent without Zornes admitting or denying the findings.
Do you need clarity on any investment losses relating to Jay Zornes? If so, reach out to Soreide Law Group at (888) 760-6552 or online and speak with a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for individuals throughout the US. Also, our securities lawyers represent investors on a contingency fee basis and advance all costs. Zornes and brokerage firms Zornes worked for deny accusations of sales practice violations.
Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Dawn Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, and has worked for Huntleigh Securities Corporation and Huntleigh […]
Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]
Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com