Published On: October 8, 2015

According to a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Brodie Johnson was barred from the securities industry. Johnson was accused of conducting outside business activities while employed with Merrill Lynch. This is commonly referred to as “selling away” and is when a broker solicits an investment or investments that are not held or offered by his brokerage firm. It is against securities rules and regulations. Brodie Johnson was registered with Merrill Lynch in New York, New York from May 1994 until February 2009, Merrill Lynch Government Securities in New York, New York from August 1997 until February 2009, Banc of America Securities in New York, New York from February 2009 until November 2010 and Merrill Lynch in New York from November 2010 until October 2014. He is not licensed within the industry and FINRA permanently barred him from acting as a broker. If you invested money with Brodie Johnson, you may be able to recover your investment losses by calling our securities law firm at 312-332-4200 to speak with an attorney. We take cases on a contingency fee basis and the call is free with no obligation.

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If you have suffered financial losses because of the negligence or fraud of your financial advisor or broker through unsuitable investment recommendations, over-concentration, churning, misrepresenting risks, conversion or selling away, you have legal rights and options to pursue recovery of those losses.

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