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Craig Johnson Allegedly Breached His Fiduciary Duty

Craig Johnson (CRD #: 721657), a broker registered with Western International Securities, is involved in an investor dispute, according to his BrokerCheck record, accessed on July 21, 2023. Keep reading if you want more detail. 

On May 23, 2023, an investor alleged that Craig Johnson breached his fiduciary duty. Registered Investment Advisers are required to uphold a fiduciary duty and must always work in their client’s best interest. 

Craig Johnson was also terminated by JP Morgan on March 10, 2015. The firm alleged that he maintained an incomplete client-signed document. 

He also has a long list of settled investor disputes on his record, dating back through the 1990s. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. 

Background Information

Craig Johnson has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in California, Florida, and Texas. He is also a registered investment adviser in California and Florida. 

Besides Western International Securities, Craig Johnson has also registered with the following: 

  • JP Morgan Securities (CRD #: 79) 
  • Chase Investment Services (CRD #: 25574) 
  • Wamu Investment (CRD #: 599) 
  • Wells Fargo (CRD #: 10582) 
  • Wells Fargo Securities (CRD #: 17438) 
  • Marketing One Securities (CRD #: 16611) 
  • Prudential Securities Incorporated (CRD #: 7471) 
  • E.F. Hutton (CRD #: 235) 

Kurta Law Can Help

If you worked with Craig Johnson and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.