Last Updated: May 2025 — Mountain View, CA
Here’s what you need to know about Mountain View, CA, stockbroker Jack Wong:
- Name: Mr. Jack Wong
- Current Employer: Morgan Stanley
- Prior Employers: Wells Fargo Advisors, Wells Fargo Investments, Morgan Stanley DW Inc., Wells Fargo Securities Inc.
- Function: Stockbroker / Financial Advisor
- Primary Location: Mountain View, CA
- CRD Number: 4210410
- Can Jack Wong be sued in FINRA arbitration? Yes
- Sanctioned by FINRA: No
- Highest Reported Settlement or Award: $225,000
- Pending Customer Dispute: Damage amount not currently specified
If you’ve sustained damages from Mr. Wong, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Jack Wong as Your Stockbroker?
A customer dispute involving Jack Wong was settled for $225,000 after allegations concerning the sale of Auction Rate Securities (ARS). The complaint originated from a transaction at Wells Fargo Investments, LLC, with activity dating back to December 28, 2006. The settlement occurred in February 2010.
In pending FINRA arbitration case (25-00401), filed on February 26, 2025, a customer of Morgan Stanley Smith Barney alleges unsuitability related to managed/wrap accounts handled from June 2021 to September 2023. Damage amount not yet specified.
Allegations of Broker Misconduct Against Jack Wong
Customers have accused Jack Wong of multiple forms of broker misconduct in connection with investment handling, including:
- Unsuitable investment recommendations
- Misrepresentation of fees or policy terms
Under FINRA Rule 2111, brokers are required to have a reasonable basis for believing a recommended transaction or investment strategy is suitable for the customer. Allegations of unsuitability may reflect a violation of this rule. Furthermore, FINRA Rule 2010, which requires high standards of commercial honor and just and equitable principles of trade, could be implicated in cases involving misrepresentation or failure to act in clients’ best interests.
Recover Your Investment Losses Now With Rex Securities Law
Investigations of Other Morgan Stanley Brokers
If you have suffered investment losses in an account handled by Jack Wong, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.