BARRY E JOHNSON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/09/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Barry E. Johnson CRD No. 5735529, Respondent. Disciplinary Proceeding No. 2012031346401 Hearing Officer: RLP ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 9, 2013 INTRODUCTION Disciplinary Proceeding No. 2012031346401 was filed on July 30, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)
Reference 2012031346401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5735529

Other names1

Also known as1

BARRY E. JOHNSON

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