Investors apparently complained about securities broker Christopher Stephen Johnson [CRD: 2041695, Cary, North Carolina], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Johnson worked for Raymond James Associates Inc. from August 16, 2019, to May 5, 2026. See below to discover more about the client disputes reported on Johnson's FINRA BrokerCheck record.
Notably, a Wells Fargo Clearing Services LLC client filed FINRA Arbitration No. 23-02141 about Christopher Johnson. The claim alleged that Johnson recommended investments that were not suitable for the client. He also supposedly set up multiple brokerage accounts to generate additional commissions from the client. Because of this, the client allegedly sustained damages. Consequently, on September 26, 2024, Wells Fargo Clearing Services LLC settled this matter by paying the client $30,000.
Also, a client of Citigroup Global Markets Inc. contested Christopher Johnson's sales practices, according to a complaint. Allegedly, Johnson bought or sold mutual funds in the client's account without authorization. It appears that Johnson allegedly caused the client to sustain damages. Therefore, Citigroup Global Markets Inc. agreed to settle the matter on August 20, 2007, by compensating the client.
Are you concerned about investments you made through Christopher Johnson? You should contact Soreide Law Group online or at (888) 760-6552 and speak to a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of investors throughout the country. Also, our securities lawyers handle cases on a contingency fee arrangement and advance all costs. Johnson and brokerage firms Johnson worked for deny allegations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
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