ANDREW GARFIELD JOHNSON is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 19200 VON KARMAN AVE STE 600, IRVINE, CA, 92612-8516.
ANDREW GARFIELD JOHNSON has worked at LPL FINANCIAL LLC since August 13, 2004
Disclosure History
ANDREW GARFIELD JOHNSON has 1 Disclosure Event(s).
Date: July 29, 1981 Category: Employment Separation After Allegations Firm Name: LEHMAN BROTHERS KUHN Termination Type: Permitted to Resign Allegations: Not ProvidedCUSTOMER ALLEGED THAT I TRADED WITHOUTAUTHORIZATION. WITH THE INTENT OF RESOLVING THE DISAGREEMENT IGAVE CUSTOMER A CHECK FOR THE AMOUNT OF THE TRADE. THE AMOUNTWAS (I BELIEVE) $312.00. THE FIRM LEHMAN BROTHERS SAID MYACTIONS (REBATING) COMPROMISED ITS ABILITY TO RESOLVE THEISSUE. I WAS THEREFORE PERMITTED TO RESIGN. Broker Comment: THE MATTER WSA CONCLUDED, WITH MY REGISNATIONFROM LEHMAN. NO PENALITIES, NO FINE, NO SETTLEMENT OR FINE THATINVOLVED ME OR THAT I AM AWARE OF.Not Provided
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