Eric William Johnson (CRD #2142522, Hinsdale, New York)
was barred by FINRA for the alleged misappropriation of more than $1 million from at least six firm customers’ brokerage accounts at his member firm.
Eric Johnson was register in the securities industry for 23 years.
FINRA’s findings stated that Johnson made wire transfers of funds from his firm clients’ brokerage accounts to his own personal bank accounts. On certain wire transfers of client funds to his personal bank accounts, Johnson falsified the signatures of a firm principal and the firm’s notary public, as well as the notarized seal.
FINRA’s findings also stated that Johnson failed to provide FINRA-requested documents and information, and failed to appear and provide on-the-record testimony. (FINRA Case #2014042723401)
Eric W Johnson was previously registered with the following securities firm(s):
03/1999 – 09/2014 REDRIDGE SECURITIES, INC. (CRD# 45976) – CHICAGO, IL
6 – 06/1999 PROGRAM TRADING CORP. (CRD# 36740) – BOCA RATON, FL
FINRA expelled the firm in 01/2005
11/1993 – 05/1996 STEIN, SHORE SECURITIES, INC. (CRD# 31294) – ORLANDO, FL
01/1992 – 11/1993 EMANUEL AND COMPANY (CRD# 7309) – NEW YORK, NY
FINRA expelled the firm in 10/1994
05/1991 – 01/1992 BARING & BROWN, INC. (CRD# 24929)
FINRA expelled the firm in 09/1992
The previous summation of information was obtained from FINRA’s website under “Disciplinary and Other FINRA Actions, December 2014,” and the information from FINRA ends here.
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