RedFlags, Allegations and Complaints against ROSS ARTHUR JOHNSON
Disclosure #1 for ROSS JOHNSON
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- Event Date: 7/7/1994
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Initiated By: CALIFORNIA BOARD OF ACCOUNTANCY
- Allegations: RECEIPT OF COMMISSIONS
- Resolution: SUSPENSION
- Sanction Details :: Sanctions: Suspension
- Sanction Details :: Registration Capacities Affected: CPA
- Duration: 4 MONTHS
- Start Date: 7/7/1994
- End Date: 11/7/1994
- Broker Comment: CALIFORNIA BOARD OF ACCOUNTANCY PROHIBITED RECEIPT OF COMMISSIONS WITHOUT REGARD TO OTHER LICENSES CURRENTLY LAWS ALLOW THIS PRACTICE
Should I file a FINRA complaint against brokers like ROSS ARTHUR 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.
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