June 2017 – New York, City
The FINRA records of Christopher C. Jansen , a stockbroker who is currently registered with Newbridge Securities , disclose a pending customer dispute, 3 prior customer disputes and two terminations from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
While employed by Emmett A. Larkin Co. , a customer was awarded $59,056 in NASD arbitration 2-3827. The customer alleged unauthorized trading and failure to follow instructions.
While Jansen was employed with Essex National Securities, two customer disputes were brought alleging misrepresentation of annuities. Both cases were settled for small amounts.
In a currently pending matter a customer of Invest Financial Corporation, alleges misrepresentation in the sale of a variable annuity and seeks damages of over $17,000.
In 12/2016, Jansen was discharged by Invest Financial Corporation who alleged “misrepresentation of features and guarantees associated with annuities”.
In 5/2001 Jansen voluntarily resigned from Wall Street Financial.
Jansen has been employed by Newbridge Securities since 4/2017. He was with Invest Financial Corporation from 10/2015-1/2017, and with Essex National Securities 7/2-13-10/2015. Prior employment includes Regal Securities, PNC Investments and Garden State Securities.
If you have questions about an account handled by Christopher Jansen , contact us to discuss your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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