Phillip Andrew Johnson

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/14/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045420301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE. Phillip Andrew Johnson, Respondent General Securities Principal CRD No. 501352 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Phillip Andrew Johnson ("Johnson") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2015045420301finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/27/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053041801 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Phillip Andrew Johnson, Respondent General Securities Principal CRD No. 501352 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Philip Andrew Johnson (“Johnson” or “Respondent”) submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing
Reference 2017053041801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	501352

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.