Miguel Ortiz, a registered representative with John Thomas Financial, was barred from association with any Financial Industry Regulatory Authority (FINRA) member in all capacities in a Hearing Panel Decision containing findings 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 […]
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Tag Archives: Miguel Ortiz
Another John Thomas Financial Broker Charged with Defrauding Investors
November 25, 2015 | Posted by : Guiliano Law Group | FINRA Securities Arbitration, Investment and Regulatory News | 0 Comments
Another John Thomas Financial Broker Charged with Fraud
September 30, 2015 | Posted by : Guiliano Law Group | 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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