Julie Johnson Allegedly Misled Client
Julie Johnson (CRD #: 3055188), a broker registered with Transamerica Financial Advisors, allegedly made misrepresentations, according to her BrokerCheck record, accessed on October 1, 2022. Keep reading if you want to know more about her conduct as a broker.
Investor Dispute
On July 28, 2022, an investor alleged that Julie Johnson misled them. The investor expressed concerns regarding the loss of their annuities’ value and the ability to leave assets to their beneficiaries. This dispute was denied by the firm.
However, investors should know that firms don’t need to permit an external review before denying disputes. Investors may be able to recoup their losses by pursuing FINRA arbitration after a denial.
FINRA Rule 2020
FINRA Rule 2020 prohibits the use of deceptive, manipulative, and otherwise fraudulent tactics to influence the purchase and sale of securities. The misrepresentation or omission of information relating to investments violates this rule.
Background Information
Julie 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 6 – Investment Company Products/Variable Contracts Representative Examination
- Series 26 – Investment Company Products/Variable Contracts Principal Examination
Julie Johnson is a registered broker in California, New Mexico, Oregon, Texas, and Washington. She is also a registered investment adviser in North Carolina, Oregon, and Texas.
She has also worked for the following firms:
- Investment Advisors International (CRD#:139233)
- World Group Securities (CRD#:114473)
- WMA Securities (CRD#:32625)
Kurta Law Can Help
If you worked with Julie Johnson and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com 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.