Nex Systems
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Francisco Jose Ortiz

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/05/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. FRANCISCO JOSE ORTIZ (CRD NO. 4677135), RESPONDENT. DISCIPLINARY PROCEEDING NO. 2016051454501 COMPLAINT 1. In May 2015, Francisco Jose Ortiz processed a customer wire transfer based on email instructions despite knowing that an unknown imposter had compromised the customer’s email account and that the wire request was fraudulent. In order to process the wire transfer, Ortiz falsely represented

    05/14/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Francisco Jose Ortiz (CRD No. 4677135), Respondent. Disciplinary Proceeding No. 2016051454501 Hearing Officer - MJD Date: May 14, 2018 ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2016051454501 was filed on March 5, 2018 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).

    Reference 2016051454501data-portal.finra.orgfinra.orgdata-portal.finra.org

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