{"id":7648,"date":"2019-01-25T11:56:59","date_gmt":"2019-01-25T16:56:59","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7648"},"modified":"2019-01-25T11:56:59","modified_gmt":"2019-01-25T16:56:59","slug":"finra-suspends-broker-lloyd-johnston-over-information-request-and-multiple-tax-liens","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-lloyd-johnston-over-information-request-and-multiple-tax-liens\/","title":{"rendered":"FINRA Suspends Broker Lloyd Johnston Over Information Request And Multiple Tax Liens"},"content":{"rendered":"

Lloyd Mark Johnston (CRD #1626695<\/a>) is a previously registered broker and investment advisor who was last employed with Capital Financial Services, Inc. (CRD #8408) of Spokane, WA. He was previously employed with Legacy Financial Services, Inc. (CRD #38697) of Clinton, MD., Investors Capital Corp. (CRD #30613) of Lynnfield, MA, and Intersecurities, Inc. (CRD #16164) of St. Petersburg, FL. No current employment information is available. He has been in the industry since 1987.<\/p>\n

\"Failure-to-Adequately-Supervise-Prompts-FINRA-Suspension-of-Roman-Luckey-300x200\"FINRA suspended Johnston on 06\/25\/2018 indefinitely after he failed to respond to a request for information. The suspension will continue until he provides the requested information. Should Johnson decline to provide this information, continue not responding or fail to request termination of his suspension, the suspension will be converted to a bar. FINRA began its investigation on 02\/08\/2018.<\/p>\n

Johnston was discharged from Capital Financial Services on 05\/14\/2018 for failing to disclose \u201creportable events\u201d on his U4. While the reportable events were not described, BrokerCheck lists a total of 15 tax liens in his disclosures dating back to 2000.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Lloyd Mark Johnston (CRD #1626695) is a previously registered broker and investment advisor who was last employed with Capital Financial Services, Inc. (CRD #8408) of Spokane, WA. He was previously employed with Legacy Financial Services, Inc. (CRD #38697) of Clinton, MD., Investors Capital Corp. (CRD #30613) of Lynnfield, MA, and Intersecurities, Inc. (CRD #16164) of […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[598,580,576],"tags":[448,1123,1472,1359,1470,1471],"class_list":["post-7648","post","type-post","status-publish","format-standard","hentry","category-alternate-investments","category-stockbroker-misconduct","category-unsuitable-investment-advice","tag-alternative-investments","tag-broker-suspension","tag-capital-financial-services","tag-finra-arbitration-lawyer","tag-lloyd-johnston","tag-lloyd-johnston-capital-financial-services"],"yoast_head":"\nFINRA Suspends Broker Lloyd Johnston Over Information Request And Multiple Tax Liens — Securities Arbitration Lawyers Blog — January 25, 2019<\/title>\n<meta name=\"description\" content=\"Lloyd Mark Johnston (CRD #1626695) is a previously registered broker and investment advisor who was last employed with Capital Financial Services, 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