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FINRA Broker Allegations

Allegations against: Mitchell Reed Johnson

Allegation type: Regulatory

Allegation status: Final

The allegations read: Mr. Johnson erroneously completed replacement forms in the sale of annuities in violation of rcw 48.17.530(i)(b), inaccurately filled out replacement forms for two consumers in violation of rcw 48.30.180, failed to provide to a client the complete replacement form prior to signing in violation of rcw 48.30.180, incorrectly answered three questions on replacement forms, committed four violations of the requirements of wac 284-23-440(2)(a), and failed to provide to a client the complete replacement form prior to signing in violation of wac 284-23-440(2)(a), and also violated wac 284-23-390 by inaccurately completing the replacement forms.

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