Jonathan Richard Lake (also known as Jon Lake) of Stamford Connecticut a stockbroker formerly registered with Wells Fargo Clearing Services LLC has been discharged on December 2, 2019 based upon accusations that the stockbroker procured funds from a customer in violation of company policy.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Lake has been identified in two more customer initiated investment related disputes containing allegations of his misconduct while employed by Wells Fargo Advisors and Morgan Stanley Smith Barney. On September 5, 2017, a customer filed an investment related complaint involving Lake’s conduct in which the customer requested unspecified damages based upon allegations that the customer had been placed into common and preferred stock and corporate bonds all of which were unsuitable and led to losses.
On April 11, 2019, another customer filed an investment related complaint concerning Lake’s activities where the customer sought unspecified damages founded on accusations that the customer’s executrix was advised to forge the customer’s signature or other information relating to investments which matured on April 10, 2019.
Lake’s registration with Morgan Stanley has been terminated as of August 7, 2017. He was associated with Wells Fargo Clearing Services between August 4, 2017 and December 18, 2019.
