ERIC DAVID JOHNSON is currently employed as a Broker and/or Investment Adviser at OPPENHEIMER & CO. INC. located at 750 WASHINGTON BLVD., 5TH FLOOR, STAMFORD, CT, 06901.
ERIC DAVID JOHNSON has worked at OPPENHEIMER & CO. INC. since July 06, 2009
Disclosure History
ERIC DAVID JOHNSON has 2 Disclosure Event(s).
Date: May 19, 2010 Category: Judgment / Lien Judgment/Lien Amount: $1,944.00 Judgment/Lien Type: Civil Broker Comment: I WAS NOT AWARE OF THIS JUDGMENT AT THE TIME IT WAS MADE AND MOVED SHORTLY AFTER. I HAVE CONTACTED CAPITAL ONE AND WE ARE QUICKLY MOVING TOWARD A SATISFACTORY AGREEMENT FOR PAYMENT AND RELEASE OF DEBT.
Date: November 07, 2001 Category: Customer Dispute Allegations: THE CLIENT ALLEGED BREACH OF FIDUCIARY RESPONSIBILITY. AUGUST 1998 THROUGH JULY 2001. ALLEGED DAMAGES UNSPECIFIED. Broker Comment: THE CLIENT'S CLAIM WAS DENIED.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for ERIC DAVID JOHNSON, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.