Grant Douglas Johnson (CRD #2355556, Chattanooga, Tennessee)

February 8, 2024 – An AWC was issued in which Johnson was assessed a deferred fine of $15,000 and suspended from association with any FINRA member in all capacities for six months. Without admitting or denying the findings, Johnson consented to the sanctions and to the entry of findings that he participated in private securities transactions totaling $610,000 without disclosing his participation in these transactions or receiving written approval to participate in them from his member firm. The findings stated that Johnson was a 4.9 percent owner of an entity that managed special purpose vehicles that facilitated investments in portfolio entities through private offerings. Johnson personally invested $210,000 in these offerings and had conversations with other potential investors regarding the offerings. These investors ultimately invested $400,000 in the offerings, and Johnson provided the investors with further updates about the status of their investments after the investments closed. The management entity was entitled to collect carried interest as selling compensation after the investments reached certain performance benchmarks, and Johnson was entitled to a share of this carried interest. The suspension is in effect from February 19, 2024, through August 18, 2024. (FINRA Case #2022076763001) If you have suffered losses as a result of Grant Douglas Johnson's act and/or actions we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Grant Douglas Johnson. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-618-0545 or email Matthew Schwartz directly at mschwartz@tslfirm.com.