Christopher S. Jorgensen Allegedly Directed a Customer to Avoid Responding to a FINRA Inquiry
Christopher Jorgensen’s member firm, Summit Brokerage Services, reportedly received a Customer Complaint alleging that Jorgenson directed a customer to not respond to a FINRA Inquiry, according to a recent Letter of Acceptance, Waiver, and Consent (AWC) under review by attorney Alan Rosca.
Attorney Alan Rosca, of the RoscaLaw LLC firm, is investigating activity related to Christopher Jorgensen’s alleged directions to avoid responding to a FINRA inquiry. Investors who believe they may have lost money in activity related to Christopher Jorgensen’s alleged directions to avoid responding to a FINRA inquiry are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.
What is more, Jorgensen was also allegedly terminated by Raymond James, and he has allegedly been the subject of at least two customer complaints, the AWC states.
Christopher Jorgensen Barred by FINRA for Allegedly Refusing to Respond to a FINRA Request for On-the-record Testimony
Christopher Jorgensen was purportedly a financial advisor and registered rep of Summit Brokerage Services from January 2012 to April 2017, and was allegedly terminated by Summit Brokerage Services regarding the aforementioned allegations, according to the aforementioned AWC currently under review by attorney Alan Rosca.
FINRA subsequently opened an investigation into Jorgensen’s alleged misconduct, the AWC notes.
On March 31, 2017, FINRA staff then allegedly sent a request to Jorgensen, through his counsel, for on-the-record testimony pursuant to FINRA Rules, and, as in his counsel’s email to FINRA staff on April 19, 2017 acknowledged that he had received FINRA’s request but that he would not appear for on-the-record testimony at any time, the AWC states.
Jorgensen, by refusing to appear for on-the-record testimony as requested pursuant to FINRA Rules, allegedly violated FINRA Rules, the AWC reports.
Jorgensen, based on the aforementioned behavior allegedly violated FINRA Rules and hence has been barred by FINRA from associating with any FINRA member firm in any capacity, the AWC notes.
One should also note that, according to the AWC, Jorgensen neither admitted nor denied the FINRA findings.
Securities Lawyer Investigating
The RoscaLaw firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Christopher Jorgensen’s alleged directions to avoid responding to a FINRA inquiry. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions, and has helped recover tens of millions of dollars on behalf of investors.
Investors who believe they lost money as a result of Christopher Jorgensen’s alleged directions to avoid responding to a FINRA inquiry may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@roscalaw.com, or through the contact form on this webpage.
