Investors potentially incurred losses because of securities broker Joseph Henry Johnson [CRD: 1312422, Woodbury, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joseph Johnson worked for Vanderbilt Securities LLC beginning on February 2, 2011, and later became registered with Vanderbilt Advisory Services on October 26, 2016. Investors should continue reviewing this article to find out more about the disclosures involving this individual.
Evidently, on May 1, 2023, a Vanderbilt Securities LLC client filed FINRA Arbitration No. 23-00810 concerning Joseph Johnson. Mainly, the client alleged that Johnson engaged in unsuitable trading and excessive trading. For this reason, the client allegedly experienced damages related to stocks. Consequently, the client requested $300,000 in compensation from Vanderbilt Securities LLC or Johnson. It appears that this arbitration is pending a resolution.
Particularly, a client filed a complaint about Joseph Johnson. Primarily, the client alleged that Johnson churned accounts. Because of this, the client allegedly incurred damages connected to exchange-traded funds and mutual funds. Therefore, on August 3, 2011, Princor Financial Services Corporation settled this matter by paying the client $26,437.26 in damages.
Notably, FINRA issued Case: 2010024001501 on April 11, 2013 sanctioning Joseph Johnson for infractions. Allegedly, Johnson engaged in unsuitable trading by recommending short-term trading and switching of municipal bond closed-end funds in a joint brokerage account with long-term, conservative objectives. As a result, Johnson was suspended for 30 days, from May 6, 2013 through June 4, 2013, and assessed a $5,000 fine, which was paid in full on November 26, 2013.
Do you need clarification on any investment losses relating to Joseph Johnson? Contact Soreide Law Group at (888) 760-6552 or online and talk to a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Johnson and brokerage firms Johnson worked for deny allegations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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