FINRA’s Allegations

FINRA barred Bertram Johnson from the securities industry in September 2026.  FINRA alleged that it began an investigation into Johnson after he was terminated by Merrill Lynch for allegedly misappropriating client funds.   After Johnson refused to respond to FINRA’s investigation, he was barred.

Bertram Johnson’s Industry History

Bertram Johnson was affiliated with Merrill Lynch from September 2024 to March 2026.  He also previously worked with Hantz Financial.  He worked in a Bloomfield Hills, Michigan office.   Johnson was also the subject of a customer complaint made in February 2026.

Merrill Lynch’s Potential Responsibility

Pursuant to FINRA Rule 3110, broker-dealers like Merrill Lynch must reasonably supervise the activities of their representatives.  If a firm does not adequately supervise Johnson, it could be liable for any investor harm.

Our firm represents investors throughout the country as well as Michigan, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  Attorney Aaron Israels is licensed to practice law in Michigan, and we have offices in Ann Arbor and Grand Rapids, Michigan.

If you were a client of Bertram Johnson and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Bertram Johnson FINRA AWC
• View Bertram Johnson’s BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. We have experience representing Michigan investors and are ready to help you recover what you deserve.