Timothy Johnson II (CRD #4634056, Florissant, Missouri)
was barred by FINRA for allegedly attempting to convert funds from his member firm for personal use and benefit by submitting false expense reports seeking reimbursement for personal, non-business related expenses.
FINRA's findings stated that Johnson's firm discovered the false expense reports and refused to pay the personal expenses. By submitting false expense reports, Johnson caused the firm to maintain inaccurate books and records.
FINRA's findings also stated that Johnson failed to appear and provide FINRA-requested testimony. (FINRA Case #2013039579401)
According to FINRA's BrokerCheck, Tim Johnson II was registered in the securities industry for 11 years and was previously registered with the following securities firm(s):
02/2014 - 07/2014 ASSOCIATED INVESTMENT SERVICES, INC. (CRD# 1464) - FAIRVIEW HEIGHTS, IL
04/2011 - 12/2013 PRUDENTIAL ANNUITIES DISTRIBUTORS, INC (CRD# 21570) - SHELTON, CT
03/2010 - 04/2011 HARTFORD EQUITY SALES COMPANY INC. (CRD# 6604) - OAKBROOK TERRACE, IL
03/2007 - 02/2010 U.S. BANCORP INVESTMENTS, INC. (CRD# 17868) - JENNINGS, MO
02/2006 - 03/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD# 16361) - CLAYTON, MO
09/2004 - 03/2006 U.S. BANCORP INVESTMENTS, INC. (CRD# 17868) - JENNINGS, MO
04/2003 - 08/2004 EDWARD JONES (CRD# 250) - ST. LOUIS, MO
The previous summation of information from FINRA’s website listed under "Disciplinary and Other FINRA Actions, December 2014," ends here.
The Soreide Law Group represents clients nationwide before FINRA. Call for a free consultation with an attorney at: 888-760-6552.
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