JOHN ANTHONY JOHNSON is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1215 W OKMULGEE ST, MUSKOGEE, OK, 74401.
JOHN ANTHONY JOHNSON has worked at LPL FINANCIAL LLC since July 21, 2009
Disclosure History
JOHN ANTHONY JOHNSON has 3 Disclosure Event(s).
Date: December 26, 2014 Category: Customer Dispute Allegations: CUSTOMER ALLEGES LOSSES RESULTING FROM FAILURE TO PLACE TRAILING STOPS. Settlement Amount: $65,000.00 Broker Comment: FIRM SETTLED MATTER TO AVOID FURTHER COST OF LITIGATION. MR. JOHNSON DID NOT CONTRIBUTE TO THE SETTLEMENT. THE STOP LOSSES WERE PLACED ON THE TRADES REFERENCED BY THE CLIENT AND WERE REFLECTED ON THE CUSTOMERS STATEMENTS THAT HE RECEIVED.
Date: November 27, 2001 Category: Customer Dispute Allegations: CLIENTS ALLEGE THAT FA MISLED THEM AND MISHANDLED THEIR ACCOUNTS. Damage Amount Requested: $50,000.00 Settlement Amount: $19,635.00
Date: June 06, 2000 Category: Customer Dispute Allegations: THE CLIENT STATES IN FEBRUARY 1999 JOHNSON RECOMMENDED SHE SELL APPROXIMATELY $70,000 OF HER VARIABLE ANNUITY IN HER IRA AND REINVEST THE PROCEEDS INTO PUTNAM HEALTH SCIENCES. THE CLIENT STATES SHE FOLLOWED HIS RECOMMENDATION AND JOHNSON REINVESTED THE PROCEEDS IN HER CASH ACCOUNT, THUS CREATING A TAXABLE TRANSACTION. IN ADDITION, THE CLIENT SAYS THE FUND IS NOT SUITABLE FOR HER FINANCIAL NEEDS AS IT IS AN AGGRESSIVE FUND. Damage Amount Requested: $5,000.00
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