HSBC Securities Broker Barred From Securities Industry by Regulator

HSBC Securities Broker Barred From Securities Industry by Regulator

HSBC Securities Broker Barred From Securities Industry by Regulator 150 150 Robert Rex, Esq.

August 6, 2015- Thousand Oaks, CA

Gehrin Michael Ortiz , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to disclose material information to FINRA on his Form U4.

AWC No.2013036666401

Ortiz was barred from the securities industry.

According to FINRA records, Ortiz  was registered with HSBC Securities   from 11/2012-4/2014. He was terminated by HSBC Securities  4/2014 after FINRA notified the firm that Ortiz had been suspended for failing to comply with an arbitration award.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

You cannot copy content of this page

Verified by MonsterInsights