Johnson was, at the time of her resignation, under an internal review by Northwestern after client complaints filed towards her colleague. Multiple allegations of client signature forgery brought questions of Johnson’s potential for involvement in the same actions. The eight customer complaints were filed after Johnson left the firm. The total amount of these eight complaints is $1,314,616.13.
FINRA sent two requests to Johnson for documents and related information, but she did not comply and failed to provide the requested information. FINRA later sent a request to Johnson to appear in a hearing for on-the-record testimony on April 13, 2018. On April 12, 2018, Johnson refused, informing FINRA staff that she would not appear for testimony on the requested date, nor in the future.
After declining requests to provide information and testimony, FINRA issued an Acceptance, Waiver & Consent (AWC) letter to Johnson, who signed it on 5/13/2018. Johnson’s indefinite bar from any FINRA member was official on 5/23/2018.
Did You Invest With Meaghan Marie Johnson?
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