MARK JOHNSON

MARK JOHNSON is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES FINANCIAL SERVICES, INC. located at 677 BROADWAY, 2ND FLOOR, ALBANY, NY, 12207.

MARK JOHNSON has worked at RAYMOND JAMES FINANCIAL SERVICES, INC. since September 22, 2016

Disclosure History

MARK JOHNSON has 2 Disclosure Event(s).

Date: June 11, 2014
Category: Customer Dispute
Allegations: CLIENT ALLEGES UNAUTHORIZED TRADES AND REQUESTS RETURN OF COMMISSIONS PAID. (02/05/2014, 02/07/2014)
Settlement Amount: $4,831.00
Broker Comment: WITHOUT ADMITTING FAULT OR LIABILITY THE FIRM MADE A BUSINESS DECISION TO SETTLE THIS MATTER IN THE AMOUNT OF $4,831.

Date: July 29, 1999
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT UNSUITABLE RECOMMENDATIONS WERE MADE. DAMAGES UNSPECIFIED.
Settlement Amount: $13,000.00
Broker Comment: IT IS REASONABLE TO BELIEVE THAT AN INVESTOR WOULD OBJECT TO AN INAPPROPRIATE INVESTMENT UPON NOTICE OF IT AND NOT AFTER HAVING THE BENEFIT OF TRACKING ITS PROGRESS OVER AN EXTENDED PERIOD OF TIME. IN ORDER TO AVOID THE COSTS AND UNCERTAINTIES OF LITIGATION, THE FIRM SETTLED THIS MATTER.

More Information

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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.

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