- September 18, 2019
- Mass Mutual Investor Services
Timothy E. Johnson (CRD # 5701828) was a Financial Advisor at Mass Mutual Investorrs Services in Lawrenceville, Georgia. Timothy E. Johnson has been in the securities industry since 2009 and previously worked at Suntrust Investment Services and PNC Investments.
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 8, 2019, Mass Mutual terminated Timothy E. Johnson “in connection with an investigation into the registered representative’s diversion of customer funds for his own use.”
Broker theft is an uncommon event but constitutes the ultimate breach of trust by a fiduciary. When a Financial Advisor misappropriates client funds, the employing brokerage firm is responsible for any financial loss that is incurred.
For a copy of Timothy E. Johnson’s CRD, click https://brokercheck.finra.org/individual/summary/5701828#disclosuresSection
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