Thomas Lee Johnson

01/22/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement Complainant, v. Thomas Lee Johnson (CRD No. 1215434), Respondent DISCIPLINARY PROCEEDING NO. 2018056848101 HEARING OFFICER: COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. In November 2017, while associated with RBC Capital Markets, LLC ("RBC" or the "Firm"), a FINRA-regulated broker-dealer, Thomas Lee Johnson ("Johnson") converted

08/23/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. THOMAS LEE JOHNSON (CRD NO. 1215434), Respondent. Disciplinary Proceeding No. 2018056848101 Hearing Officer--MJD HEARING PANEL DECISION Date: August 23, 2019 Respondent converted $1,059,544.98 from his employer firm. For this misconduct, Respondent is barred from associating with any member firm in

10/06/2021: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Thomas Lee Johnson, Carmel, IN, Respondent. AMENDED DECISION1 Complaint No. 2018056848101 Dated: October 6, 2021 Respondent converted funds from his former employer. Held, findings and sanctions affirmed. Appearances For the Complainant: Joseph E. Strauss, Esq., and John Luburic, Esq., Department of Enforcement, Financial Industry Regulatory Authority

02/23/2024: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 99596 / February 23, 2024 Admin. Proc. File No. 3-20646 In the Matter of the Application of THOMAS LEE JOHNSON For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDING Associated person of FINRA member firm converted funds mistakenly placed in his personal account. Held, FINRA’s findings of violation and sanction are sustained. APPEARANCES: Jon-Jorge Aras, of Levan Legal LLC, for Thomas Lee Johnson. Alan Lawhead, Ashley Martin, and Colleen E. Durbin for FINRA.

Reference 2018056848101data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org