Christopher Jorgensen was a New York-based securities broker. He worked in the securities industry for twenty-eight years. During his career, he was registered with six different securities firms.
His registrations included; Faitos & Company (1989-1991), W.J. Nolan & Company (1991-1994), A.G. Edwards & Sons (1994-2000), Citigroup Global Markets (2000-2008), Raymond James (2008-2012), and Summit Brokerage Services (2012-2017). He is no longer working as a registered broker in any fashion.
Christopher Jorgensen’s publicly available FINRA BrokerCheck report shows that he was the subject of multiple customer complaints, employment terminations, and even a FINRA sanction, over the course of his career.
In August 2003, a customer alleged unsuitability of investments. The alleged transgressions taking place between 2001 and 2003. This case was settled for $37,000 in damages.
In October 2011, a customer alleged excessive commissions. This case was settled for $25,430 in damages.
In January 2012, he was discharged from his position at Raymond James following allegations of exercising discretion in a customer account without the proper authorization.
In April 2017, he was discharged from his position at Summit Brokerage Services following allegations that he instructed a customer not to respond to a FINRA inquiry.
In May 2017, he was barred by FINRA from acting as a securities broker in any fashion due to allegations that he failed to comply with a FINRA investigation.
In October 2017, a customer alleged unsuitable investments, excessive trading, and failure to follow instructions. This case was settled for $10,000 in damages.
In April 2018, a customer alleged unauthorized trading, excessive trading, and over-concentration. This case was settled for $70,000 in damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Christopher Jorgensen, please contact Oakes & Fosher for a free and private consultation.