According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Johnson (Johnson), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnson recommended unsuitable investments in different investment products including debt securities among other…
The Financial Industry Regulatory Authority (FINRA) sanctioned five brokers formerly associated with now expelled brokerage firm HFP Capital Markets LLC (HFP Capital) (Case No. 2010024522103) including brokers Jonah Engler (Engler), Brett Friedberg (Friedberg), Jonathan Sheklow (Sheklow), Joshua Turney (Turney), and Hector Perez (a/k/a Bruce Johnson) (Perez) concerning allegations that between…
We use cookies to improve the experience of our website. By continuing to use our website, you consent to the use of cookies.
To understand more about how we use cookies, please see our Privacy Policy.