RedFlag, Allegation and/or Complaint against DANIEL THOMAS KJORSVIK
Disclosure #1 for DANIEL KJORSVIK
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- Event Date: 7/26/2010
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Initiated By: MINNESOTA COMMISSIONER OF COMMERCE
- Allegations: IT WAS ALLEGED THAT I CLAIMED CREDIT FOR CONTINUING EDUCATION (\CE\) CREDITS THAT WERE NOT ACTUALLY COMPLETED.
- Resolution: Consent
- Sanction Details :: Sanctions: Cease and Desist Sanctions: Civil and Administrative Penalty(ies)/Fine(s)
- Sanction Details :: Amount: $3,000.00
- Sanctions: TO COMPLETE 41 SUPPLEMENTAL HOURS OF CE CREDITS.
- Broker Comment: I WAS UNAWARE AT THE TIME OF TAKING THE CLASSES AT ISSUE IN 2007 AND 2008 THAT THESE HOURS WOULD BE VIEWED AS INVALID BY THE STATE OF MN. MY UNDERSTANDING AT THE TIME IS THAT THE FIRM THAT OFFERED THE CLASSES WAS LICENSED BY THE STATE OF MN, AND I WAS PERSONAALY TOLD BY THE PRINCIPAL OF THE FIRM THAT HIS COURSE WAS APPROVED FOR CREDIT BY THE SATE OF MN DEPARTMENT OF INSURANCE. I PERSONALLY SAT IN THOSE CLASSES IN 2007 AND 2008 WITH INTENTIONS OF RECEIVING VALID CREDIT FROM AN ACCREDITED AND LICENSED MN CONTINUING EDUCATION PROVIDER. FROM MY CONVERSATION WITH PERSONNEL AT THE MN DEPARTMENT OF INSURANCE, I HAVE MET THE REQUIREMENTS OF THE CONSENT ORDER. I RETOOK THE CE CREDITS IN QUESTION, PAID THE FINE AND HAVE MAINTAINED MY VALID MN INSURANCE PRODUCERS LICENSE.
Should I file a FINRA complaint against brokers like DANIEL THOMAS KJORSVIK?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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Originally reported on November 17, 2022 @ 8:32 pm
