JEFFRY JESS JOHNSON is currently employed as a Broker and/or Investment Adviser at MUTUAL SECURITIES, INC. located at 26412 LAS ALTURAS AVE, LAGUNA HILLS, CA, 92653.
JEFFRY JESS JOHNSON has worked at MUTUAL SECURITIES, INC. since November 10, 2009
Disclosure History
JEFFRY JESS JOHNSON has 2 Disclosure Event(s).
Date: March 05, 2004 Category: Employment Separation After Allegations Firm Name: WACHOVIA SECURITIES Termination Type: Permitted to Resign Allegations: THE ALLEGATIONS OF ACCEPTING GIFTS AND A FIDUCIARY APPOINTMENT FROM A CLIENT WITHOUR FIRM APPROVAL.
Date: April 19, 2002 Category: Customer Dispute Allegations: JANUARY 2002 PURCHASE OF $446,500 OF ALLIANCE CALIF MUNICIPAL FUND SHARES WAS UNSUITABLE BECAUSE IT WAS ACCOMPANIED WITH INTEREST RATE RISKS. SEEKS $50,000 HE ALLEGEDLY LOST WHEN HE RECENTLY SOLD THE SECURITIES AT ANOTHER FIRM. Damage Amount Requested: $50,000.00 Broker Comment: CLAIM DENIED IN 6/25/02 LETTER TO CLIENT.
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