Tag Archives: Brickstone Equities

Another John Thomas Financial Broker Charged with Fraud

September 30, 2015  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

Miguel Ortiz, a registered representative with John Thomas Financial, was charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Ortiz willfully defrauded customers in violation of Section 10(b) of the Securities Exchange Act of 1934, along with willfully failing to disclose a $4,983,606.23 judgment against him on his Uniform Application for Securities […]

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