John Charles Hanson (CRD #2420584, Spokane, Washington) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Hanson consented to the sanction and to the entry of findings that he refused to respond to FINRA requests for information, documents and testimony in connection with an investigation involving allegations that he misappropriated more than $300,000 from at least two member firm customers. The findings stated that Hanson, through his counsel, stated that he would not produce any documents or information or appear for testimony.
For the full FINRA findings, see FINRA Case #2014042675001.
According to his FINRA Broker Check, Hanson was registered with Northwestern Mutual Investment Services from September 2004 through September 2014. His Broker Check also indicates that he has been the subject of at least 5 customer complaints, with at least one alleging that he improperly recommended that the investor withdrawal from an annuity to invest in fictitious investments.
The foregoing information, which is all publicly available, is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. For a free consultation with a securities attorney, please call the firm’s Chicago office at 312/238-9650.
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Tags: John Charles Hanson FINRA Last modified: July 17, 2015