RedFlag, Allegation and/or Complaint against MARY D JOHNSON
Disclosure #1 for MARY JOHNSON
- Event Date: 1/1/1983
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Initiated By: INSURANCE LICENSING DEPARTMENT- KANSAS
- Allegations: CONTINUING EDUCATION REQUIREMENTS WERE NOT MET.
- Resolution: CONTINUING EDUCATION REQUIREMENTS WERE COMPLETED AND LICENSE WAS REINSTATED
- Sanction Details :: Sanctions: Suspension
- Sanction Details :: Registration Capacities Affected: ALL CAPACITIES
- Duration: 9 MONTHS
- Duration Explanation: CONTINUING EDUCATION REQUIREMENTS WERE COMPLETED AND LICENSE WAS REINSTATED.
- Start Date: 1/1/1983
- End Date: 9/8/1983
- Broker Comment: IN 1983, LIFE INSURANCE WAS SUSPENDED UNTIL CONTINUING EDUCATION REQUIREMENTS WERE MET. THIS WAS COMPLETED AND LICENSE WAS REINSTATED ON 09/08/1983.
Should I file a FINRA complaint against brokers like MARY D 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.
Frequently Asked Questions About MARY D JOHNSON
What is MARY JOHNSON's Central Registration Depository (CRD) Number?
Which firm is MARY D JOHNSON associated with?
Where is MARY JOHNSON located?
Where can I find more details about MARY JOHNSON's Investment Firm?
Are there any disclosures, allegations or complaints filed against MARY D JOHNSON?
Where can I download a detailed FINRA report for MARY JOHNSON?
Is it safe to do business with MARY D JOHNSON?
All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.