October 7, 2014-Hinsdale, New York
Eric William Johnson entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from December 2006 through September 2014 Johnson misappropriated more than $1 million in customer funds. To effectuate some wire transfers of customer funds to his personal accounts, Johnson falsified, or caused to be falsified the signatures of a firm principal and the firm’s notary public, as well as the notary seal, according to the AWC. Case # 2014042723401
Johnson refused to provide documents and information in connection with the FINRA investigation and would not appear for on the record testimony. He was barred from the securities industry.
FINRA records indicate Johnson was registered with Redridge Securities from 3/1999–9/2014. Prior to that he was registered with Program Trading Corp.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
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