Securities Arbitration Lawyers BlogBroker Charles D. Johnson Permanently Barred by FINRA
His career in securities ends with failure to respond to FINRA request
After only six years in the securities industry, broker Charles Damien Johnson has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. According to the FINRA BrokerCheck website, Johnson failed to respond to a FINRA request for information and was sent a notice of suspension in August of 2014. Since he then failed to request termination of his suspension within three months of the date of notice of his suspension, he was automatically barred from association with any FINRA member in any capacity as of November 10, 2014.
During his career in the industry, Johnson nonetheless worked for at least 10 investment firms in the New York state area. His dates of employment and employers are listed below:
| Employment Dates | Employer Name | Employer Location |
| 01/2013 – Present | Laidlaw & Co (UK) Ltd | Melville, NY |
| 06/2012 – 12/2012 | Global Arena Capital Corp | New York, NY |
| 07/2010 – 06/2012 | National Securities Corp | Huntington, NY |
| 07/2009 – 07/2010 | New Castle Financial Services, LLC | Melville, NY |
| 09/2008 – 07/2009 | Morgan Wilshire Securities, Inc. | Westbury, NY |
| 10/2007 – 09/2008 | National Securities Corp | Huntington, NY |
| 07/2007 – 10/2007 | EKN Financial Services, Inc.National Securities Corp | Woodbury, NY |
| 11/2006 – 02/2007 | Morgan Wilshire | Woodbury, NY |
| 11/2006 – 02/2007 | SW Bach & Co | Port Washington, NY |
| 01/1997 – 10/2006 | Argo Financial | Melville, NY |
While moving from firm to firm seems to have been voluntary, Johnson’s employment with Global Arena Capital Corp was terminated on December 12, 2012 for “circumvention of firm policy” according to the FINRA BrokerCheck website.
Why are we telling you all of this?
To let you know that, if you’re an investor who suffered financial losses at the hands of Charles D. Johnson, or any other financial advisor, you may be eligible to recover your losses through securities arbitration. The key is to turn to the right securities fraud attorney with proven expertise in recovering lost funds.
At Silver Law Group you’ll find an experienced securities attorney committed to help recover investment losses due to stockbroker misconduct. With lawyers admitted to practice in New York and Florida – representing investors nationwide – you can expect a complimentary consultation and a case handled on a contingent fee basis, meaning you don’t pay legal fees unless Silver Law Group is successful. Contact us today to schedule your free consultation and discuss your legal rights.