The allegations read: Mitchell johnson - s-17-2327-17-sc01 - statement of charges on february 2, 2018, the securities division issued a statement of charges and notice of intent to enter order to cease and desist, to suspend registration, to deny registration, to impose fines, and to charge costs (statement of charges) against mitchell r. Johnson. the statement of charges alleges that mitchell r. Johnson submitted false form u4 filings with the securities division by failing to document the full scope of his work with cla usa as well as a past regulatory action as a result of his work with cla usa. The statement of charges further alleges that mitchell r. Johnson failed to file an updated or amended form u4 to document his ongoing work with cla usa. the securities division intends to order mitchell r. Johnson to cease and desist from violating the securities act of washington, to suspend mitchell r. Johnson's registration as an investment adviser representative, and to assess mitchell r. Johnson fines and costs. mitchell r. Johnson has a right to request a hearing on the statement of charges.
