GEOFFREY ORTIZ

08/22/2008: 6SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 58416 / August 22,2008 Admin. Proc. File No. 3-12889 In the Matter of the Application of GEOFFREY ORTIZ Malibu, California 90265 For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY

10/10/2007: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Geoffrey Ortiz Malibu, CA, Respondent. DECISION Complaint No. E0220030425-01 Dated: October 10, 2007 Respondent forged the initials of two customers, submitted forged documents to his member firm, and provided false information to the Financial Industry Regulatory Authority. Held, findings and sanctions affirmed. Appearances For the Complainant:

06/09/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GEOFFREY ORTIZ (CRD No. 1808280), Respondent. Disciplinary Proceeding No. E0220030425-01 Hearing Officer - DMF HEARING PANEL DECISION June 9, 2006 Summary Respondent is barred from associating with any NASD member in any capacity for forging the initials of two customers on account applications and submitting the applications to his member firm, in violation of Rules 2110, and for providing false information in response to two

Reference E022003042501data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org