Wendy Johnson is Vice President and Compliance Representative for the U.S. Bancorp Investments, Inc. Dispute Resolution team, a division of U.S. Bancorp’s Wealth Management Group. One of her primary roles is to develop, lead, educate, investigate and report the financial exploitation of seniors and vulnerable adults.
Wendy developed and manages the U.S. Bancorp Investments, Inc. Senior and Vulnerable Adult Investor Protection Unit and has taken an active role in educating clients, registered representatives, back office personnel and management with regard to best practices and effective identification of possible financial exploitation and diminished capacity.
Prior to joining U.S. Bancorp Investments, Inc. Wendy gained valuable industry experience in back office operations with Dain Bosworth; retail sales and institutional trust services at Piper Jaffray and retail sales with Merrill Lynch.
Wendy holds a Bachelor of Arts in Organizational Management & Communications from Concordia University in St. Paul, Minnesota, a Juris Doctorate from William Mitchell College of Law in St. Paul, Minnesota. She is a Certified Financial Crime Specialist with the Association of Certified Financial Crime Specialists (ACFCS). Wendy holds her FINRA Series 7, 24, 53, 63, and 79 registrations and currently sits as a FINRA arbitrator.