{"id":3015,"date":"2015-06-09T00:00:00","date_gmt":"2015-06-09T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/broker-charles-d-johnson-permanently-barred-by-finra\/"},"modified":"2017-07-26T19:27:29","modified_gmt":"2017-07-26T23:27:29","slug":"broker-charles-d-johnson-permanently-barred-by-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-charles-d-johnson-permanently-barred-by-finra\/","title":{"rendered":"Broker Charles D. Johnson Permanently Barred by FINRA"},"content":{"rendered":"

\"Broker<\/a><\/p>\n

His career in securities ends with failure to respond to FINRA request<\/h2>\n

After only six years in the securities industry, broker Charles Damien Johnson has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. According to the FINRA BrokerCheck website<\/a>, Johnson failed to respond to a FINRA request for information and was sent a notice of suspension in August of 2014. Since he then failed to request termination of his suspension within three months of the date of notice of his suspension, he was automatically barred from association with any FINRA member in any capacity as of November 10, 2014.<\/p>\n

During his career in the industry, Johnson nonetheless worked for at least 10 investment firms in the New York state area. His dates of employment and employers are listed below:<\/p>\n\n\n\n\n\n\n\n\n\n\n\n\n\n
Employment Dates<\/strong><\/td>\nEmployer\u00a0Name<\/strong><\/td>\nEmployer\u00a0Location<\/strong><\/td>\n<\/tr>\n
01\/2013 \u2013 Present<\/td>\nLaidlaw & Co (UK) Ltd<\/td>\nMelville, NY<\/td>\n<\/tr>\n
06\/2012 \u2013 12\/2012<\/td>\nGlobal Arena Capital Corp<\/td>\nNew York, NY<\/td>\n<\/tr>\n
07\/2010 \u2013 06\/2012<\/td>\nNational Securities Corp<\/td>\nHuntington, NY<\/td>\n<\/tr>\n
07\/2009 \u2013 07\/2010<\/td>\nNew Castle Financial Services, LLC<\/td>\nMelville, NY<\/td>\n<\/tr>\n
09\/2008 \u2013 07\/2009<\/td>\nMorgan Wilshire Securities, Inc.<\/td>\nWestbury, NY<\/td>\n<\/tr>\n
10\/2007 \u2013 09\/2008<\/td>\nNational Securities Corp<\/td>\nHuntington, NY<\/td>\n<\/tr>\n
07\/2007 \u2013 10\/2007<\/td>\nEKN Financial Services, Inc.National Securities Corp<\/td>\nWoodbury, NY<\/td>\n<\/tr>\n
11\/2006 \u2013 02\/2007<\/td>\nMorgan Wilshire<\/td>\nWoodbury, NY<\/td>\n<\/tr>\n
11\/2006 \u2013 02\/2007<\/td>\nSW Bach & Co<\/td>\nPort Washington, NY<\/td>\n<\/tr>\n
01\/1997 \u2013 10\/2006<\/td>\nArgo Financial<\/td>\nMelville, NY<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

While moving from firm to firm seems to have been voluntary, Johnson\u2019s employment with Global Arena Capital Corp was terminated on December 12, 2012 for \u201ccircumvention of firm policy\u201d according to the FINRA BrokerCheck website.<\/p>\n

Why are we telling you all of this?<\/h4>\n

To let you know that, if you\u2019re an investor who suffered financial losses at the hands of Charles D. Johnson, or any other financial advisor, you may be eligible to recover your losses through securities arbitration. The key is to turn to the right securities fraud attorney with proven expertise in recovering lost funds.<\/p>\n

At Silver Law Group you\u2019ll find an experienced securities attorney committed to help recover investment losses due to stockbroker misconduct. With lawyers admitted to practice in New York and Florida \u2013 representing investors nationwide \u2013 you can expect a complimentary consultation and a case handled on a contingent fee basis, meaning you don\u2019t pay legal fees unless Silver Law Group is successful. Contact us today to schedule your free consultation and discuss your legal rights.<\/p>\n","protected":false},"excerpt":{"rendered":"

His career in securities ends with failure to respond to FINRA request After only six years in the securities industry, broker Charles Damien Johnson has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. According to the FINRA BrokerCheck website, Johnson failed to respond to […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578,602],"tags":[454],"class_list":["post-3015","post","type-post","status-publish","format-standard","hentry","category-all-releases","category-class-action","tag-permanently-barred-by-finra"],"yoast_head":"\nBroker Charles D. Johnson Permanently Barred by FINRA — Securities Arbitration Lawyers Blog — June 9, 2015<\/title>\n<meta name=\"description\" content=\"Johnson failed to respond to a FINRA request for information. 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