Tag Archives: Philip Andrew Johnson

D.H. Hill Stockbroker Barred In FINRA Investigation

August 27, 2019  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

Philip Andrew Johnson of Kingwood Texas a stockbroker registered with D.H. Hill Securities LLP has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that Johnson failed to cooperate with FINRA’s request for his information. Case No. 2018056846001 (Sept. 24, 2018). According to FINRA Public Disclosure, […]

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SunTrust Stockbroker Fined For Unapproved Customer Loan

March 07, 2018  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

Philip Andrew Johnson of Nashville Tennessee is a stockbroker formerly associated with SunTrust Investment Services Inc. who has been fined five thousand dollars and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he borrowed funds from a customer without authorization from the firm. […]

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