Christopher Jorgensen, formerly of Summit Brokerage Services, Barred from Securities Industry
Have you lost money with financial advisor Christopher Jorgensen of Setauket, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Christopher S. Jorgensen. FINRA barred Jorgensen from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Jorgensen regarding allegations that his brokerage firm, Summit Brokerage Services, received a complaint from a customer who alleged that Jorgensen instructed her not to respond to a FINRA inquiry.
Christopher Jorgensen was a financial advisor and registered representative of Summit Brokerage Services from January 2012 to April 2017. He worked at branch offices in Setauket and Smithtown, New York. Jorgensen was terminated by Summit Brokerage Services regarding these allegations. Moreover, he was previously terminated by Raymond James, and he has been the subject of at least two customer complaints.
Brokerage firms like Summit Brokerage Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Jorgensen, Christopher FINRA AWC
Click to view: Jorgensen, Christopher BrokerCheck 5.30.17
If you lost money with Christopher Jorgensen or Summit Brokerage Services, please CONTACT US at 206-795-5798 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.