Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 19, 2018 indicate that Illinois-based Raymond James Financial Services broker/adviser Joseph Johnson has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Joseph (CRD# 1412528).
Joseph Johnson has spent 32 years in the securities industry and has been registered with Raymond James Financial Services in North Riverside, Illinois since 2008. Previous registrations include Midwest Financial and Investment Services in Elmwood Park, Illinois (2007-2008); Raymond James Financial Services in Elmwood Park, Illinois (1999-2007); Robert Thomas Securities in St. Petersburg, Florida (1989-1999); BC Financial Corporation (1989); Power Securities Corporation (1988-1989); Blinder Robinson & Company (1986-1988); and Dreher & Associates (1985-1986). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 28, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 27, 1986; Series 7 (General Securities Representative Examination), which he obtained on October 18, 1985; and Series 24 (General Securities Principal Examination), which he obtained on December 15, 1987. He is a registered broker and investment adviser with 23 US states and territories: Alabama, Arizona, California, Colorado, Florida, Hawaii, Illinois, Indiana, Kentucky, Louisiana, Michigan, Minnesota, Mississippi, Missouri, Montana, Nevada, New Mexico, North Dakota, Tennessee, Texas, Virginia, Washington, and Wisconsin.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and two customer complaints that were closed or denied.
In April 2018 a customer alleged Joseph Johnson, while employed at Raymond James Financial Services, breached contract, committed fraud, breached his fiduciary duty, and acted negligently in connection to investments in exchange-traded funds. The customer is seeking $50,000 in damages in the pending complaint.
In 2016 a customer alleged Joseph Johnson, while employed at Raymond James Financial Services, made poor recommendations that contributed to losses in the customer’s retirement plan. The customer sought more than $50,700 in damages in the complaint, which was closed with no action taken.
In 2007 a customer alleged Joseph Johnson, while employed at Raymond James Financial Services, concentrated the account in two unsuitable equity positions. The customer sought $64,500 in damages in the complaint, which was denied.
In 1991 a customer alleged he, while employed at Robert Thomas Securities, misrepresented material facts and acted negligently. The complaint resulted in an award to the customer of $8,826.
If you or someone you know has a complaint regarding Joseph Johnson, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.