Brent D. Johns, of Dubuque, Iowa, a stockbroker formerly registered with Edward Jones, has been named in a customer initiated investment related written complaint on April 10, 2017, in which the customer requested $35,000.00 in damages based upon allegations that he poorly advised the customer concerning liquidity within a fixed annuity policy issued to the customer by Protective Life.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Johns has been named in three additional customer initiated investment related disputes regarding allegations of his misconduct while associated with Edward Jones. Particularly, on December 31, 2001, a customer filed an investment related written complaint involving Johns’ conduct, in which the customer requested $5,000.00 in damages based upon allegations that Johns misrepresented the amount of funds that the customer would be able to withdrawal without affecting the customer’s principal investment.
Moreover, on May 28, 2009, a customer initiated investment related complaint concerning Johns’ activities was settled for $26,000.00 in damages based upon allegations that he failed to follow the customer’s instructions regarding a tax-free annuity exchange into an annuity issued by Lincoln National Life, and failed to place riders on the customer’s annuity policy which the customer based her decision to purchase the annuity upon. Further, on January 20, 2009, a customer filed an investment related written complaint regarding Johns’ conduct, where the customer requested $5,000.00 in damages based upon allegations that he improperly represented the death benefits pertaining to the customer’s corporate debt investments.
Johns’ registration with Edward Jones was terminated on March 24, 2017. Since April 11, 2017, he has been associated with Nations Financial Group, Inc.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
