Kay Johnson is Facing an Investor Dispute

Kay Johnson (CRD #: 1583193), a broker registered with OneSource Fi, is the subject of an investor dispute. This disclosure appears on her BrokerCheck record, accessed on October 10, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On July 16, 2024, an investor named Kay Johnson in a dispute alleging the firm failed to supervise. The investor is seeking $2,610,000.

There are similar allegations on her record dated January 8, 2024. 

Failure to Supervise

FINRA Rule 3110 requires that firms establish systems of supervision to maintain their compliance with securities regulations. This includes appointing supervisors and providing them with Written Supervisory Procedures (WSPs).

Background Information 

Kay Johnson has passed the following exams: 

• Series 63 Uniform Securities Agent State Law Examination 
• Series 99TO Operations Professional Examination 
• Series 79TO Investment Banking Registered Representative Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination
• Series 14 Compliance Officer Examination 
• Series 9 General Securities Sales Supervisor – Options Module Examination 
• Series 10 General Securities Sales Supervisor – General Module Examination 
• Series 24 General Securities Representative Examination 
• Series 8 General Securities Sales Supervisor Examination (Options Module & General Module) 

She is a registered broker in Indiana, New York, and Washington. 

Kay Johnson has registered with nine firms. These are the four most recent: 

• OneSource Fi (CRD #: 310933) 
• Allied Millenial Partners (CRD #: 16569) 
• National Securities Corporation (CRD #: 7569) 
• VFinance Investments (CRD #: 44962) 

Kurta Law Can Help 

If you worked with Kay Johnson and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.