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Investigation involving Broker Roy Dwane Johnson

The Certified Financial Planner Board (CFP) recently revoked the designations of three advisors and suspended several others.

According to Financial planning, Roy Dwane Johnson, of Ajz Consulting, had his CFP designation suspended for four years for “misappropriating funds and submitting false records to his member firm regarding reimbursement claims for personal expenses.”

Johnson’s BrokerCheck reports he was a registered representative with Raymond James & Associates. Johnson was with the firm from 03/2007 until he was terminated in 01/2014. The report revealed that Johnson was working with an advisor select branch of his member firm. During which time he allegedly submitted more than 750 business expense reimbursement claims for personal expenditures.

The foregoing information, which is all publicly available, is being provided by The White Law Group.

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Tags: , , , , , Last modified: June 6, 2023