Eric Johnson

There are Recent Customer Complaints with Broker Eric Johnson in Firm Osaic Wealth, INC.

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Johnson (Johnson), currently associated with Osaic Wealth, INC., 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 allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $54,567.96 on January 12, 2021.

Johnson was a subject of the customer\\u2019s complaint against his member firm that asserted the following causes of action: breach of contract and warranties; promissory estoppel; violation of state securities statutes; breach of fiduciary duty; negligence and gross negligence; misrepresentation/omission & negligent misrepresentation/omission; unjust enrichment; failure to supervise; common law and statutory claims and damages; and vicarious & control person liability.

There are Recent Customer Complaints with Broker Eric Johnson in Firm Truist Investment Services, INC.

May 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Johnson (Johnson), currently associated with Truist Investment Services, INC., 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 allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $8,000.00 on June 03, 2024.

Customer emailed instructions to invest funds. Advisor did not act upon emailed trade instructions. Client indicated the failure to invest the funds as requested resulted in $8,000 loss.

Update On Eric Johnson Alleged Theft of Over $1,000,000 in Customer Funds

March 9, 2015 | by Staff Attorney

As previously reported by Gana Weinstein LLP, the Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) barred broker Eric Johnson (Johnson) concerning allegations that he misappropriated more than $1,000,000 from at least six firm customers’ brokerage accounts. FINRA had also alleged that Johnson falsified the signatures of two firm employees and notarized seals on firm documents.

In a second disciplinary proceeding FINRA sanctioned RedRidge Securities, Inc. (RedRidge) and principal Brent D. Hurt (Hurt) alleging that the firm and Hurt failed to establish and enforce a supervisory system reasonably designed to detect unauthorized wire transfers.

In March 1999, Johnson became registered with RedRidge and operates out of his DBA business called HD Brent & Company (HD Brent). RedRidge terminated Johnson’s registration on September 24, 2014.

Broker Eric Johnson Terminated for Allegedly Stealing Over $1,000,000 From Investors

November 24, 2014 | by Staff Attorney

The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) barred broker Eric Johnson (Johnson) concerning allegations that Johnson misappropriated more than $1,000,000 from at least six firm customers’ brokerage accounts. FINRA also alleged that Johnson falsified the signatures of two firm employees and notarized seals on firm documents. Finally, Johnson failed to provide documents, information, and on-the-record testimony during FINRA’s investigation of this matter.

Johnson first became registered with FINRA in 1991. In March 1999, Johnson became registered with RedRidge Securities, Inc. (RedRidge). Johnson operates out of his DBA business called HD Brent & Company (HD Brent). RedRidge terminated Johnson’s registration on September 24, 2014, in connection with the firm’s investigation concerning the alleged theft of customer funds. RedRidge may have only become aware of the misappropriation of funds when the Federal Bureau of Investigation (FBI) contacted the firm concerning their investigation of Johnson.

FINRA alleged that from approximately December 2006, through September 2014, Johnson misappropriated more than $1,000,000 in customer funds. FINRA determined that Johnson made at least 60 wire transfers from at least six firm customers’ brokerage accounts to his own personal bank accounts. The wire transfers required the signature of a firm principal and the signature and seal of the firm’s notary public that FINRA alleged Johnson falsified in order to effectuate the transfers. Given that Johnson’s activities took place over the course of eight years it is astonishing that RedRidge did not supervise and detect Johnson’s activities sooner.