LAURA ELIZABETH JOHNSON is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 9624 Woodsboro Rd, Frederick, MD, 21701.
LAURA ELIZABETH JOHNSON has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since May 04, 2016
Disclosure History
LAURA ELIZABETH JOHNSON has 1 Disclosure Event(s).
Date: December 12, 2012 Category: Employment Separation After Allegations Firm Name: LPL FINANCIAL LLC Termination Type: Discharged Allegations: VIOLATED FIRM POLICY BY ACCEPTING TRADE AND MONEY MOVEMENT INSTRUCTIONS VIA EMAIL WITHOUT VERBAL CONFIRMATION FROM THE CLIENT. TERMINATED BY RELATED BANK FOR VIOLATIONS OF BANK POLICY. Broker Comment: CLIENTS NORMAL OPERATING PROCEDURE WAS TO MAKE REQUESTS VIA EMAIL SINCE SHE LIVED IN SOUTH AFRICA. THIS EMAIL HAD A LETTER FROM THE CLIENT ATTACHED THAT WAS SIGNED. WHILE THE SIGNATURE APPEARED TO MATCH, IT WAS UNFORTUNATELY A FORGERY. THERE WAS NO LOSS TO THE CLIENT.
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