Securities Lawyers Blog
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joseph Johnson (Johnson), currently associated with Vanderbilt Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Johnson concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on May 01, 2023.
Client claims unsuitable and excessive trading in brokerage account for the period of 2011-2022.