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
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
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 JOHN ANTHONY JOHNSON, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.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.
How to choose a broker or investment adviser. Learn More