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Jayson Pocius: FINRA Bars Ex-Wells Fargo Advisor

Chicago financial advisor Jayson Pocius (CRD# 6018543) was recently sanctioned in connection with allegations that he used client funds for his personal benefit. Financial Industry Regulatory Authority records show that the former Wells Fargo broker and investment advisor is currently registered with Great Point Capital.

A Letter of Acceptance, Waiver, and Consent (No. 2023078976601) published on March 8, 2024 describes FINRA’s disciplinary action against Mr. Pocius. As it explains, the regulator sent him a request to provide on-the-record testimony as part of its investigation into his 2023 termination from Wells Fargo. It sent him the request on January 19, 2024, according to the letter, and he indicated via counsel on February 12, 2024 that he would not appear for such at any time.

FINRA explains that under Rule 8210, it has the right to require persons under its jurisdiction to provide testimony regarding any matter under its investigation. Under the same rule, such persons are forbidden from failing to provide information or testimony. FINRA found that he violated Rule 8210 as well as Rule 2010, which stipulates that persons associated with FINRA must “observe high standards of commercial honor and just and equitable principles of trade.” It barred him from associating with any FINRA member in any capacity.

Mr. Pocius’s BrokerCheck report discloses his termination from Wells Fargo. Filed in May 2023, it states that the firm fired him in connection with allegations that he “admitted during review that funds from client account were used for his personal benefit.”

According to the Financial Industry Regulatory Authority, Jayson Pocius holds 11 years of securities industry experience. Based in Chicago, Illinois, he has been registered as a broker with Great Point Capital since May 2023. His past registrations include Wells Fargo Advisors Financial Network (Arlington Heights, Illinois; 2019-2023), PNC Investments (Chicago, Illinois; 2013-2019), JP Morgan Securities (Hoffman Estates, Illinois; 2013), and Edward Jones (McHenry, Illinois; 2012). His credentials include the passage of five securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Securities Trader Exam, or Series 57TO; and the Uniform Combined State Law Examination, or Series 66. He has been barred from associating with any FINRA member in all capacities. (Information current as of March 8, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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