Adrian Torres Ortega of Sun City West Arizona a stockbroker formerly employed by BBVA Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Ortega failed to cooperate with a FINRA investigation into accusations of his unauthorized transfer of a customer’s investment funds. […]
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Tag Archives: Adrian Torres Ortega
BBVA Stockbroker Barred In Investigation
April 10, 2019 | Posted by : Guiliano Law Group | Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft | 0 Comments