Bertram Johnson

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/17/2026: In August 2026, Johnson refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is ba1Ted from associating with any FINRA member in any capacities...
Reference 2026089747301finra.org data-portal.finra.org

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