Phillip Johnson – Phillip Andrew Johnson, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Phillip Johnson was previously licensed with D.H. Hill Securities, LLLP and SunTrust Investment Services, Inc. in Texas and Tennessee. FINRA reports that Phillip Johnson was barred from the securities and investment banking industry on September 24, 2018. FINRA also reports that Phillip Johnson was previously suspended from the securities industry for 3 months. FINRA reports that Phillip Johnson consented to the sanctions and to the entry of findings that Phillip Johnson borrowed $528,000 from a customer but failed to notify or obtain written approval of the loan in advance from his member firm. The findings stated that Phillip Johnson made an inaccurate statement on his firm compliance questionnaires related to borrowing from a firm customer.
If you lost money on investments with Phillip Johnson and believe 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 against D.H. Hill Securities, LLLP and/or SunTrust Investment Services, Inc. concerning Phillip Johnson’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. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $170 million on behalf of victimized investors. If you lost money on investments with Phillip Johnson 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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