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Former U.S. Bancorp Investments Financial Advisor, John Douglas Wade, Barred From Associating With Any FINRA Brokerage Firm After Misappropriating Client Funds

The Wolper Law Firm is currently investigating claims against former U.S. Bancorp Investments Financial Advisor, John Douglas Wade, from Fullerton, CA.

According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), effective June 2018, John Douglas Wade was barred from associating with any FINRA member brokerage firm.  Effectively, this means that John Douglas Wade is unable to work as a registered Financial Advisor. This disciplinary action was prompted by John Douglas Wade’s termination from U.S. Bancorp Investments for allegedly misappropriating client funds.  Specifically, it is alleged that John Douglas Wade converted monies from two elderly clients for personal use, including to pay his own mortgage.

If you or someone you know was a customer of John Douglas Wade and you experienced investment losses, please contact the Wolper Law Firm at 800.931.8452 or by email at mwolper@67.43.6.64to discuss your specific situation and the legal options available.  The Wolper Law Firm represents investors nationwide in securities litigation and arbitration.

Attorney Matthew Wolper

Attorney Matthew WolperMatt Wolper is a trial lawyer who focuses exclusively on securities litigation and arbitration. Mr. Wolper has handled hundreds of securities matters nationwide before the Financial Industry Regulatory Authority (FINRA), American Arbitration Association (“AAA”), JAMS, and in state and federal court. Mr. Wolper has handled and tried cases involving complex financial products and strategies ranging from traditional stocks and bonds to options, margin and other securities-based lending products, closed/open-end mutual funds, structured products, hedge funds, and penny stocks. [Attorney Bio]