Our Staff has compiled our research into a database of FINRA Broker Disclosures for . Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Thomas Lee Johnson | 1215434 | 4 | 05/20/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Lee Johnson | 1215434 | 4 | 01/22/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Jay Johnson | 837948 | 5 | 12/14/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Lee Johnson | 1215434 | 4 | 12/14/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew Jay Johnson | 837948 | 5 | 02/14/1997 | Customer Dispute | Settled | $410,000.00 | $0.00 | See FINRA Report |
| Andrew Jay Johnson | 837948 | 5 | 05/20/1992 | Customer Dispute | Award / Judgment | $50,000.00 | $78,508.00 | See FINRA Report |
| Andrew Jay Johnson | 837948 | 5 | 03/29/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew Jay Johnson | 837948 | 5 | 03/27/1992 | Customer Dispute | Award / Judgment | $100,000.00 | $100,000.00 | See FINRA Report |
| Thomas Lee Johnson | 1215434 | 4 | 09/05/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |