ERNEST ANGELO JOHNSTON is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 11300 STATE ROAD 54, TRINITY, FL, 34655.
ERNEST ANGELO JOHNSTON has worked at WELLS FARGO CLEARING SERVICES, LLC since June 01, 2007
Disclosure History
ERNEST ANGELO JOHNSTON has 2 Disclosure Event(s).
Date: April 11, 2016 Category: Financial Type: Bankruptcy Broker Comment: The Bank of Fayette County foreclosed on my property in Memphis Tennessee and a shortfall was originated when they purchased the property back at a significant discount to its value and now they are foreclosing on a property in Florida which I own and they hold the lien to satisfy this shortfall.
Date: June 11, 1999 Category: Customer Dispute Allegations: ALLEGED MISREPRESENTATION OF VARIABLE ANNUITY PRODUCT, UNAWARE OF SURRENDER PENALTY AND SEVEN YR PERIOD; ALSO UNHAPPY WITH RETURNS. ALLEGES BROKER TOLD HIM IT WOULD RETURN 12-15% PER YEAR. WANTS ORIGINAL INVESTMENT OF $75000.00 RETURNED. LOSS CLAIM APPROX. $5250.00 Damage Amount Requested: $5,250.00 Broker Comment: CLOSED. LETTER SENT TO CUSTOMER 08/31/1999 DENYING ANY CLAIM FOR DAMAGES. THE NASD OPENED AN INVESTIGATION (TC-JOHNSTON)#E05990364 IN OCT.,1999. INFORMATION WAS REQUESTED PROVIDED TO NASD IN NOV. 1999. ULTIMATELY, THE NASD COMMUNICATED BY LETTER, JAN.21, 2000, NO ACTION WOULD BE UNWARRANTED REGARDING ACTIVITIES OF JC BRADFORD IN THE JOHNSTON INVESTIGATION. THE COMPLAINTS IS CLOSED.
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 ERNEST ANGELO JOHNSTON, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.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.