Adrian Torres Ortega of Sun City West Arizona a stockbroker formerly registered with BBVA Securities Inc. is referenced in an Arizona Corporation Commission Securities Division Order For Administrative Penalties and Order of Revocation where his stockbroker registration has been revoked based on Ortega being barred by a securities regulator. In the Matter of Adrian Torres […]
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Tag Archives: Adrian Torres Ortega
Regulator Sanctions BBVA Securities Stockbroker In Theft Investigation
August 15, 2021 | Posted by : Guiliano Law Group | Forgery, Investment and Regulatory News, Stockbroker Theft | Comments Off on Regulator Sanctions BBVA Securities Stockbroker In Theft Investigation
BBVA Stockbroker Barred In Investigation
April 10, 2019 | Posted by : Guiliano Law Group | Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft | 0 Comments
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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