William Johnson of Cadaret Grant & Co. Involved in Two Six-Figure Disputes
William Johnson (CRD #: 3174473), a broker registered with Cadaret Grant & Co. in Greenville, South Carolina, is involved in two investor disputes regarding suitability. This is according to his BrokerCheck record, accessed on August 6, 2021.
On July 2, 2021, investors alleged that William Johnson recommended an unsuitable strategy that included a number of high-risk, alternative securities. The investors are seeking $250,000; the dispute is pending.
There is a similar dispute from less than a year earlier. On October 15, 2020, investors alleged that beginning in 2014, William Johnson of Cadaret Grant & Co. recommended unsuitable and risky investments. The investors had allegedly wished to build a conservative portfolio. The investor is seeking $400,000; the dispute is pending.
Settled Investor Disputes
Two settled disputes on William Johnson’s record also allege he recommended unsuitable investments.
- On August 19, 2010, an investor alleged that the Class A mutual funds Johnson recommended were unsuitable due to their higher expenses.
- On August 14, 2009, an investor alleged that Johnson recommended an unsuitable variable annuity.
These disputes collectively settled for $351,000.05.
William Johnson Background Information
Johnson has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
Johnson is a registered broker in nine states and is a registered investment adviser in six states.
During his 22 years in the securities industry, Johnson has worked with the following firms:
- Cadaret Grant & Co. (CRD #: 10641)
- Voya Financial Advisors (CRD #: 2882)
Kurta Law Can Help
If you worked with William Johnson and you have concerns about your investments, contact Kurta Law today. Call 212-658-1502 or email firstname.lastname@example.org.