J.P. Morgan’s Benjamin Johnson Barred For Impeding FINRA Investigation Benjamin S. Johnson (CRD #5742748, Columbus, Ohio) was a registered representative of J.P. Morgan Securities LLC between October 1, 2012 and February 17, 2017. Johnson consented to being barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker or associating with FINRA member […]

Patrick Alan Deramus (CRD #1718409, Registered Principal, Tampa, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for six months. Without admitting or denying the findings, Deramus consented to the described sanctions and to the entry of findings […]

Harold James Swart Jr. (CRD #2912854, Registered Representative, Kissimmee, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Swart consented to the described sanction and to the entry of findings that he willfully filed inaccurate Form U4s and failed to make other material disclosures on his […]

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, January 2012.”   Dennis Flanagan Jr. (CRD #4199469, Registered Principal, Miami, Florida)   submitted an Offer of Settlement in which he was fined $25,000 and suspended from association with any FINRA member in any capacity for two years. The fine must be paid either immediately […]