Christopher Jorgensen – Instructing a Client Not to Respond to FINRA
Christopher S. Jorgensen Under Investigation Regarding Allegations that His Brokerage Firm, Summit Brokerage Services, Received a Customer Complaint Alleging that Jorgenson Purportedly Directed a Customer to Not Respond to a FINRA Inquiry
Christopher Jorgensen was under investigation regarding allegations that his brokerage firm, Summit Brokerage Services, purportedly received a Customer Complaint alleging that Jorgenson directed a customer to not respond to a FINRA Inquiry, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Joe Peiffer and James Booker.
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 attorneys Joe Peiffer or James Booker with any useful information or for a free, no obligation discussion about their options.
The Peiffer Wolf securities lawyers are currently investigating Christopher Jorgensen’s alleged directions to avoid responding to a FINRA inquiry.
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.
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 barred by FINRA for allegedly refusing to respond to a FINRA Request for on-the-record testimony, according to the aforementioned AWC currently under review by attorneys Joe Peiffer and James Booker.
On March 31, 2017, FINRA staff 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 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 Lawyers Investigating
The Peiffer Wolf securities lawyers often represent investors who lose money as a result of investment fraud and are currently investigating Christopher Jorgensen’s alleged directions to avoid responding to a FINRA inquiry. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.
Investors who believe they lost money as a result of Christopher Jorgensen’s alleged directions to avoid responding to a FINRA inquiry may contact the securities lawyers at Peiffer Wolf, Joe Peiffer or James Booker, for a free no-obligation evaluation of their recovery options, at 504-523-2434 or via e-mail at firstname.lastname@example.org or email@example.com.