JOPHLIN DEVON JOHNSON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/14/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOPHLIN DEVON JOHNSON (CRD No. 4486919), Respondent. Disciplinary Proceeding No.2006005692701 Hearing Officer-LBB DEFAULT DECISION August 14, 2008 For Respondent's failure to make required disclosures on his Form U4, in violation of Conduct Rule 2110 and IM-1000-1, Respondent is barred from associating with any FINRA member in any capacity. Respondent is also barred for failure to provide requested
Reference 2006005692701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4486919 |
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