Tag Archives: James Ortega

FINRA Sanctions Allstate Stockbroker For Outside Business Activities

November 04, 2020  |   Posted by :   |   Securities Arbitration Claims, Selling Away and Outside Activities   |   Comments Off on FINRA Sanctions Allstate Stockbroker For Outside Business Activities

James Ortega of Pompano Beach Florida a stockbroker formerly registered with Allstate Financial Services has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Ortega engaged in outside business activities. Letter of Acceptance Waiver and Consent No. 2019061168602 (Oct. 5, 2020). According […]

Read More »