Judith Johnston— Alleged Sale of Variable Annuities

Judith Adele Johnston Under FINRA Investigation for the Alleged Sale of Variable Annuities

Judith Adele Johnston allegedly has been under investigation regarding the sale of variable annuities when Johnston was registered with a member firm, according to a Final Regulatory Action filed on Johnston’s FINRA BrokerCheck Report under review by investor rights attorney Alan Rosca.

The aforementioned dispute was filed on March 18, 2019, FINRA states.

Judith Johnston has 9 disclosures on her FINRA BrokerCheck Report, and has 7 years in the securities industry with only one member firm:

NY Life Securities, LLC, Frisco, Texas— October 12, 2009 to October 13, 2016

Investor rights attorney Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to Judith Johnston allegedly selling variable annuities when Johnston was registered with a member firm. Investors who believe they may have lost money in activity related to Judith Johnston allegedly selling variable annuities when Johnston was registered with a member firm are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Invested with Judith Johnston?

Judith Johnston Barred Indefinitely by FINRA

Judith Johnston, without admitting or denying the findings, allegedly consented to the sanction and to the entry of findings that she allegedly refused to appear for FINRA on-the-record testimony in connection with the aforementioned investigation into multiple customer complaints regarding the sale of variable annuities when Johnston was registered with NY LIFE, FINRA states.

Johnston has been indefinitely barred by FINRA starting on March 18, 2019, FINRA notes.

Judith Johnston was also the subject of a Settled Customer Dispute which alleged that they were misled regarding their variable annuities purchased in January and March 2016, FINRA Reports.

Said Dispute was filed on September 29, 2017, and was settled for $16,301.03, FINRA notes.

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated.

Invested with Judith Johnston?

Securities Lawyer Investigating

The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Judith Johnston allegedly selling variable annuities when Johnston was registered with a member firm. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of Judith Johnston allegedly selling variable annuities when Johnston was registered with a member firm may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

DISCLAIMER

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

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