Randy Charles Jorgensen (CRD #5805627) Has Financial and Judgment/Lien Disclosures on FINRA BrokerCheck

Randy Charles Jorgensen (CRD #5805627) is a broker with financial and judgment/lien disclosures on FINRA BrokerCheck. We reviewed his BrokerCheck report on April 14, 2026. It reflects two financial disclosures and four judgment/lien disclosures. If you invested with him and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Financial Disclosures

Randy Jorgensen’s FINRA BrokerCheck report reflects two financial disclosures. Summaries are below:

On November 28, 2023, Randy Jorgensen’s FINRA BrokerCheck report listed a final financial disclosure involving a compromise with Synchrony Bank-0925. The report lists an original amount owed of $2,769.31. It states the matter was settled for $1,384.66 and was marked satisfied or released on January 22, 2024.

On December 28, 2023, Randy Jorgensen’s FINRA BrokerCheck report listed a pending financial disclosure involving a compromise with Synchrony Bank-6728. The report lists an original amount owed of $3,680.17. His BrokerCheck statement says the DRP was filed in error and that no compromise was made.

Judgment / Lien Disclosures

Randy Jorgensen’s FINRA BrokerCheck report reflects four judgment/lien disclosures. Two examples appear below. Two additional judgment/lien disclosures remain on the report.

On February 20, 2026, Randy Jorgensen’s FINRA BrokerCheck report listed a civil judgment/lien for $22,867.18. The holder is LVNV Funding LLC. BrokerCheck states the matter is outstanding and lists Oklahoma County District Court with docket number 24-03491.

On February 5, 2026, Randy Jorgensen’s FINRA BrokerCheck report listed a civil judgment/lien for $3,480.42. The holder is Synchrony Bank. BrokerCheck states the matter is outstanding and lists Oklahoma County District Court with docket number CS-2024-8843.

Rule Summary #1: FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration)

FINRA Rule 1122 says members and associated persons cannot file information with FINRA that is incomplete or inaccurate so that it misleads. Disclosure records matter because BrokerCheck depends on those filings to show investors material background information.

Rule Summary #2: FINRA Rule 3110 (Supervision)

FINRA Rule 3110 requires firms to maintain a supervisory system that is reasonably designed to achieve compliance with securities laws and FINRA rules. That framework matters when firms oversee associated persons and the accuracy of required registration and disclosure information.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Randy Jorgensen:

Is currently registered with PFS Investments Inc.

Has passed the Securities Industry Essentials (SIE) exam. Randy Jorgensen has also passed Series 6 and Series 63.

Was previously registered with PFS Investments Inc. from October 2010 to December 2021.

Kurta Law Can Help

If you have worked with Randy Jorgensen and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | Investment Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.