{"id":6587,"date":"2018-09-05T12:01:46","date_gmt":"2018-09-05T16:01:46","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6587"},"modified":"2018-09-05T12:01:46","modified_gmt":"2018-09-05T16:01:46","slug":"finra-bars-broker-meaghan-johnson-after-allegations-in-eight-customer-complaints-totaling-1-3m-in-damages","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-meaghan-johnson-after-allegations-in-eight-customer-complaints-totaling-1-3m-in-damages\/","title":{"rendered":"FINRA Bars Broker Meaghan Johnson After Allegations in  Eight Customer Complaints Totaling $1.3M in Damages"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft size-medium wp-image-4930\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683-300x200.jpg\" alt=\"South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683-300x200\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683-300x200.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683-768x512.jpg 768w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683.jpg 1024w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683-1000x667.jpg 1000w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Former broker and investment advisor Meaghan Marie Johnson (<a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/5754123\" target=\"_blank\">CRD #5754123<\/a>) has been barred by FINRA after customers filed eight complaints in 2017. She was previously employed by Northwestern Mutual Investment Services, LLC (CRD #2881) of McLean, VA, and briefly by Signator Investors, Inc. (CRD #468) of Vienna, VA. She resigned from Northwestern on 01\/19\/2017, and began as a registered representative in the financial industry in 2010.<\/p>\n<p>Johnson was, at the time of her resignation, under an internal review by Northwestern after client complaints filed towards her colleague. Multiple allegations of client signature forgery brought questions of Johnson\u2019s potential for involvement in the same actions. The eight customer complaints were filed after Johnson left the firm. The total amount of these eight complaints is $1,314,616.13.<\/p>\n<p>FINRA sent two requests to Johnson for documents and related information, but she did not comply and failed to provide the requested information. FINRA later sent a request to Johnson to appear in a hearing for on-the-record testimony on April 13, 2018. On April 12, 2018, Johnson refused, informing FINRA staff that she would not appear for testimony on the requested date, nor in the future.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-meaghan-johnson-after-allegations-in-eight-customer-complaints-totaling-1-3m-in-damages\/\"  title=\"Continue Reading FINRA Bars Broker Meaghan Johnson After Allegations in  Eight Customer Complaints Totaling $1.3M in Damages\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Former broker and investment advisor Meaghan Marie Johnson (CRD #5754123) has been barred by FINRA after customers filed eight complaints in 2017. She was previously employed by Northwestern Mutual Investment Services, LLC (CRD #2881) of McLean, VA, and briefly by Signator Investors, Inc. (CRD #468) of Vienna, VA. She resigned from Northwestern on 01\/19\/2017, and [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[579,588,577,580],"tags":[1210,1211,1212,290],"class_list":["post-6587","post","type-post","status-publish","format-standard","hentry","category-broker-permanently-barred","category-finra-arbitration","category-finra-disciplinary-actions","category-stockbroker-misconduct","tag-meaghan-johnson","tag-northwestern-mutual-investment-services","tag-scott-silver-northwestern-mutual-investment-services","tag-securities-arbitration"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>FINRA Bars Broker Meaghan Johnson After Allegations in Eight Customer Complaints Totaling $1.3M in Damages &#8212; Securities Arbitration Lawyers Blog &#8212; September 5, 2018<\/title>\n<meta name=\"description\" content=\"Former broker and investment advisor Meaghan Marie Johnson (CRD #5754123) has been barred by FINRA after customers filed eight complaints in 2017. 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