FREDERICK HARRY JOHNSON at TRANSAMERICA FINANCIAL ADVISORS, INC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 1106097
FREDERICK HARRY JOHNSON is an Investment Adviser, associated with TRANSAMERICA FINANCIAL ADVISORS, INC located at JOHNS CREEK, GA. FREDERICK JOHNSON’s Central Registration Depository (CRD) number is 1106097 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for FREDERICK JOHNSON

    • Event Date: 6/6/2003
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Pending
    • Disclosure Detail :: Allegations: CLIENT ALLEGES THAT REP SOLD HER AN UNSUITABLE VUL POLICY.
    • Damage Amount Requested: $5,000.00
    • Broker Comment: COMPLAINT PENDING, CLIENT ALLEGES REP SOLD HER AN UNSUITABLE VUL POLICY.

Disclosure #2 for FREDERICK JOHNSON

      • Event Date: 10/22/2000
      • Disclosure Type: Customer Dispute
      • Disclosure Resolution: Closed-No Action
      • Disclosure Detail :: Allegations: CLIENT HAS REQUESTED REFUND OF ALL PREMIUMS PAID INTO A VARIABLE UNIVERSAL LIFE INSURANCE CONTRACT ISSUED ON 1/27/2000, ON THE BASIS OF BELIEF THAT IT IS NOT LEGAL FOR PRODUCT PROVIDER TO RETAIN THIS AMOUNT WHEN THE CONTRACT IS SURRENDERED. THERE ARE NO SPECIFIC ALLEGATIONS AGAINST THE REGISTERED REPRESENTATIVE.
      • Damage Amount Requested: $5,572.75
      • Broker Comment: PRODUCT PROVIDER, WESTERN RESERVE LIFE, ISSUED TOTAL REFUND OF $5572.75, WITH $4410.87 REFUNDED DIRECTLY TO THE CLIENTS AND $1161.88 REFUNDED TO FORMER PRODUCT PROVIDER, EQUIITABLE.

Disclosure #3 for FREDERICK JOHNSON

      • Event Date: 10/22/2000
      • Disclosure Type: Customer Dispute
      • Disclosure Resolution: Closed-No Action
      • Disclosure Detail :: Allegations: CLIENT HAS REQUESTED REFUND OF ALL PREMIUMS PAID INTO A VARIABLE UNIVERSAL LIFE INSURANCE CONTRACT ISSUED ON 1/27/2000, ON THE BASIS OF BELIEF THAT IT IS NOT LEGAL FOR PRODUCT PROVIDER TO RETAIN THIS AMOUNT WHEN THE CONTRACT IS SURRENDERED. THERE ARE NO SPECIFIC ALLEGATIONS AGAINST THE REGISTERED REPRESENTATIVE.
      • Damage Amount Requested: $5,572.75
      • Broker Comment: PRODUCT PROVIDER, WESTERN RESERVE LIFE, ISSUED TOTAL REFUND OF $5572.75, WITH $4410.87 REFUNDED DIRECTLY TO THE CLIENTS AND $1161.88 REFUNDED TO FORMER PRODUCT PROVIDER, EQUIITABLE.


Should I file a FINRA complaint against brokers like FREDERICK HARRY JOHNSON?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by FREDERICK HARRY JOHNSON’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

 
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Frequently Asked Questions About FREDERICK HARRY JOHNSON

What is FREDERICK JOHNSON's Central Registration Depository (CRD) Number?

1106097

Which firm is FREDERICK HARRY JOHNSON associated with?

TRANSAMERICA FINANCIAL ADVISORS, INC

Where is FREDERICK JOHNSON located?

6475-A EAST JOHNS CROSSING, JOHNS CREEK, GA, 30097

Where can I find more details about FREDERICK JOHNSON's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/16164 to read a detailed report for TRANSAMERICA FINANCIAL ADVISORS, INC

Are there any disclosures, allegations or complaints filed against FREDERICK HARRY JOHNSON?

Yes. There are disclosures, allegations, or complaints filed against FREDERICK HARRY JOHNSON. Click here to view all details

Where can I download a detailed FINRA report for FREDERICK JOHNSON?

Click here to download a detailed FINRA report for FREDERICK JOHNSON

Is it safe to do business with FREDERICK HARRY JOHNSON?

We’re not sure. Please research FREDERICK JOHNSON’s disclosures, allegations and complaints before taking a decision


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