Robert Wade Johnson

04/06/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT WADE JOHNSON (CRD No. 2966137), Respondent. Disciplinary Proceeding No. E3A2004027901 Hearing Officer DMF DEFAULT DECISION April 6, 2006 Summary Respondent is barred from associating with any NASD member in any capacity for misusing funds, in violation of Rules 2330 and 2110, and for failing to provide requested information, in violation of Rules 8210 and 2110. Appearances Helen G. Bamhill, Esq,, Denver, CO (Rory C. Flynn,

12/02/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Robert Wade Johnson, CRD No. 2966137 Respondent. Disciplinary Proceeding No. E3A2004027901 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Robert Wade Johnson ("Johnson") became registered with NASD in or about November 1997. Johnson was associated with Walnut Street Securities, Inc. ("WSSI"), a member of NASD, from about April 2, 1998 to February 20, 2003. He was later associated

Reference E3A2004027901data-portal.finra.orgdata-portal.finra.orgfinra.org