Jonathan Walter Way is a previously registered broker who has since been barred from acting as a broker or associating with a broker-dealer firm. Throughout his thirty-eight years of experience, Mr. Way has received six customer complaints against him for various sales practice allegations. For example, In December 2022, a customer alleged excessive, unauthorized, and unsuitable trading. The claimant is seeking $1,000,000 in damages.

In June of 2023, the Financial Industry Regulatory Authority (FINRA) initiated a regulatory action regarding an investigation related to Mr. Way. Without admitting or denying the findings, Mr. Way consented to the sanctions and to the entry of findings that he refused to provide documents and information FINRA requested in connection with an investigation. Mr. Way responded to RINRA’s initial request but refused to produce the information and documents requested. The action resulted in an Acceptance, Waiver, and Consent, and Mr. Way was allowed to resign while under internal review for potential sales practice violations. Furthermore, FINRA permanently barred Mr. Way from the securities industry.

If you have suffered losses while a customer investor of Jonathan Way and would like to speak to a securities attorney about the potential to recover your investment losses, please call Levin Papantonio Rafferty (800) 277-1193 for a free consultation or submit your case summary on this page.