Lloyd Johnston – Lloyd Mark Johnston, Financial Advisor Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses
Lloyd Johnston was previously registered with Capital Financial Services, Inc. in Spokane, Washington. According to Lloyd Johnston’s CRD, FINRA barred Lloyd Johnston from acting as a financial advisor or associating with a broker-dealer firm, alleging that Lloyd Johnston failed to respond to FINRA request for information.
According to Lloyd Johnston’s CRD, Lloyd Johnston was barred by the state of Maryland. According to Lloyd Johnston’s CRD, Lloyd Johnston is allegedly the subject of 15 outstanding judgments or liens with an outstanding balance exceeding $1,000,000. According to Lloyd Johnston’s CRD, Lloyd Johnston also allegedly violated the terms of a Conditional Registration Order, which required him to provide the Division with quarterly updates. Respondent failed to disclose or timely disclose judgements or liens.
According to Lloyd Johnston’s CRD, an arbitration claim was filed alleging sales practice violations against Lloyd Johnston. These allegations included unsuitable sales of alternative investments. According to Lloyd Johnston’s CRD, this arbitration claim was settled.
If you lost any money on investments with Lloyd Johnston, you may be able to recover your losses from Capital Financial Services, Inc.. If you lost money on investments with Lloyd Johnston and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Lloyd Johnston’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Lloyd Johnston and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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