Broker Investigation: Benjamin S. Johnson

Broker Investigation: Benjamin S. Johnson
Benjamin S. Johnson (CRD#: 5742748) was registered as a broker with FINRA from 2010 to 2017. Most recently, Mr. Johnson was employed at J.P. Morgan Securities in Columbus, Ohio. Before that, this broker was associated with Chase Investment Services Corp.

On September 6th, 2018, Mr. Johnson was expelled from the securities industry for violations of FINRA Rule 8210 and FINRA Rule 2010. Here, our broker misconduct lawyers review the allegations against former J.P Morgan Securities broker Benjamin S. Johnson.

Barred Broker: Benjamin S. Johnson Formerly of J.P. Morgan Securities

In January of 2017, Benjamin S. Johnson was terminated from his position at J.P. Morgan Securities. Soon after, FINRA launched an investigation into his conduct while he was employed at this firm. Specifically, this investigation centered around allegations that Mr. Johnson failed to report at least seven liens and judgements that were entered against him.

Under securities industry rules, all liens and judgements must be disclosed. Investors have a legal right to know basic financial and background information about their financial representatives.

Though he acknowledged that he received the request from FINRA, Mr. Johnson declined to provide documents or records. Without admitting or denying any wrongdoing, he consented to a permanent bar from the industry.

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