5
Jun

WARNING! Impending Investigation – JOHN WADE of Fullerton, CA

INVESTOR ALERT! Dana Bruce Vietor of Cape Securities and CFD Investments in Texas and Iowa

John Wade, formerly with U.S. Bancorp Investments, Barred from Securities Industry

 

Have you lost money with financial advisor John Wade of Fullerton, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against John Douglas Wade. FINRA barred Wade from the securities industry regarding allegations that he stole or converted $105,000 from elderly customers of his former firm, U.S. Bancorp Investments.

 

John Wade was a financial advisor and registered representative of U.S. Bancorp Investments from May 2011 to February 2018.  He worked at a branch office in Fullerton, California.  Wade also filed for bankruptcy in 2012.

 

Brokerage firms like U.S. Bancorp Investments have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout California.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including U.S. Bancorp Investments.

 

Click to view:  Wade, John FINRA AWC

Click to view:  Wade, John BrokerCheck 6.5.18

 

If you lost money with John Wade, or U.S. Bancorp Investments, please CONTACT US at 720-599-3505 for a free evaluation of your case.

 

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.