May 5, 2015 Comments (0) Blog, Securities Fraud

Investigation involving Broker Roy Dwane Johnson

(Last Updated On: July 17, 2015)

The Certified Financial Planner Board (CFP) recently revoked the designations of three advisors and suspended several others.

According to Financial planning, Roy Dwane Johnson, of Ajz Consulting, had his CFP designation suspended for four years for “misappropriating funds and submitting false records to his member firm regarding reimbursement claims for personal expenses.”

Johnson’s BrokerCheck reports he was a registered representative with Raymond James & Associates. Johnson was with the firm from 03/2007 until he was terminated in 01/2014. The report revealed that Johnson was working with an advisor select branch of his member firm. During which time he allegedly submitted more than 750 business expense reimbursement claims for personal expenditures.

The foregoing information, which is all publicly available, is being provided by The White Law Group.

For a free consultation with a securities attorney, please call the securities attorneys of The White Law Group at (312)238-9650.

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm.

For more information on The White Law Group, visit www.whitesecuritieslaw.com.

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