Tag Archives: Miguel Ortiz

Another John Thomas Financial Broker Charged with Defrauding Investors

November 25, 2015  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

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 […]

Read More »

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 […]

Read More »