Joseph Edward Sorok of Great Neck New York a stockbroker currently registered with TD Ameritrade Inc. is referenced in a customer initiated investment related written complaint on July 9, 2018 where the customer sought $182,728.00 in damages supported by accusations that the customer was poorly advised concerning investments in municipal debt products.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that on January 12, 2012, a customer initiated investment related arbitration claim concerning Sorok’s activities was settled for $110,000.00 in damages founded on allegations that while Sorok was associated with E*Trade Securities LLC, transactions were effected in the customer’s account that were not suitable for the customer, and misrepresentations and omissions had been made concerning reverse convertible bonds purchased in the customer’s account. FINRA Arbitration No. 10-05820 (Jan. 12, 2012).
The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.
This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer
Guiliano Law Group
Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
