Tag Archives: Brodie Johnson

Merrill Lynch Stockbroker Barred for Obstructing Investigation into Business Activities

Brodie Johnson, a Stockbroker with Merrill Lynch, was permanently barred from association with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that Johnson had failed to provide information and documentation pursuant to a FINRA investigation into Johnson’s alleged outside business activities and trading in personal accounts. Letter of Acceptance, […]

Read More »