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Joseph Sorok: Puerto Rico Bond Complaint Against TD Ameritrade Rep

Agenda Analysis BusinessPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 23, 2019 indicate that New York-based TD Ameritrade broker/adviser Joseph Sorok has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sorok (CRD# 2674984).

Joseph Sorok has spent 21 years in the securities industry and has been registered with TD Ameritrade inĀ Great Neck, New York since 2011. Previous registrations include E-Trade Securities in Jersey City, New Jersey (2008-2011); Chase Investment Services Corporation in New York, New York (2007-2008);

Wachovia Securities in Garden City, New York (2007); TD Ameritrade in New York, New York (2000-2006); the Dreyfus Service Corporation in New York, New York (1998-2000); Texas Capital Securities in Houston, Texas (1996-1997); JS Securities in Pt. Pleasant Beach, New Jersey (1996); TL Group in Fort Worth, Texas (1996); and Royce Investment Group in Woodbury, New York (1995-1996). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 1, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 16, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on November 10, 1995; Series 24 (General Securities Principal Examination), which he obtained on June 8, 2015; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on August 25, 2014. He is a registered broker and investment adviser with 53 US states and territories.

According to his BrokerCheck report, he has received a pending customer complaint.

In December 2018 a customer alleged Joseph Sorok, while employed at TD Ameritrade, recommended an unsuitable investment in Puerto Rico bonds. The customer is seeking unspecified damages in the pending complaint. If you have complaints regarding Joseph Sorok, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.