John Charles Hanson (CRD #2420584, Spokane, Washington)
was barred by FINRA for refusing to respond to FINRA requests for information, documents and testimony in connection with an investigation involving allegations that he misappropriated more than $300,000 from at least two member firm clients.
FINRA’s findings stated that Hanson stated that he would not produce any documents or information or appear for testimony.
(FINRA Case #2014042675001)
The Financial Industry Regulatory Authority (FINRA) has permanently barred John Hanson from acting as a broker or otherwise associating with firms that sell securities to the public.
John Charles Hanson was registered in the securities industry for 18 years and was previously registered with the following securities firm(s):
09/2004 – 09/2014 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD# 2881) – SPOKANE, WA
06/2004 – 09/2004 SECURITIES AMERICA, INC. (CRD# 10205) – LAVISTA, NE
05/2001 – 05/2004 WELLS FARGO INVESTMENTS, LLC (CRD# 10582) – SAN FRANCISCO, CA
05/1998 – 06/2001 FIRST UNION SECURITIES, INC. (CRD# 19616) – ST. LOUIS, MO
07/1997 – 05/1998 WM FINANCIAL SERVICES, INC. (CRD# 599) – IRVINE, CA
11/1995 – 07/1997 SMITH BARNEY INC. (CRD# 7059) – NEW YORK, NY
This summation was obtained on FINRA’s Website under “Disciplinary and Other Actions, January, 2015” and ends here.
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