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Jordan Helfgott Fined By New York Securities Regulator

May 23, 2022 Employment

Jordan Helfgott (CRD #: 5982408), a broker registered with MML Investors, has been fined by a state regulator, according to his BrokerCheck record, accessed on May 18, 2022. Keep reading if you have concerns about his conduct as a broker.

On February 22, 2022, the New York State Department of Financial Services fined Jordan Helfgott following allegations that he signed the names of the policy owner and the proposed insured on a life insurance application.

Jordan Helfgott has also been permitted to resign. On March 24, 2021, he was permitted to resign following allegations he violated company policy by signing the names of a customer and proposed insured on a life insurance applications and related documents. NY Life Securities became aware of this violation based on an investor complaint.

Background Information

Jordan Helfgott has passed the following exams:

  • Series 63 Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination

He is also a registered broker in New Jersey and New York.

Besides MML Investors, he has also worked with NYLife Securities (CRD #: 5167) and AXA Advisors (CRD #: 6627).

Kurta Law Can Help

If you worked with Jordan Helfgott and have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For nearly 20 years, Kurta Law has advocated on behalf of investors recovering their investment losses from stockbrokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors. We work on a contingency basis, which means that the firm only earns a fee if our securities attorneys recover money on your behalf. Reach out and we can tell you what steps to take to restore your lost funds.