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Florlena Cortez-Former Chase Investment Services Broker- Barred by FINRA-El Paso, TX

Florlena Cortez-Former Chase Investment Services Broker- Barred by FINRA-El Paso, TX

Florlena Cortez-Former Chase Investment Services Broker- Barred by FINRA-El Paso, TX 150 150 Rex Securities Law
 Florlena Cortez (CRD #4339441, Registered Principal, El Paso, Texas) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Cortez consented to the described sanction and to the entry of findings that she participated in private securities transactions by soliciting customers to invest in securities that were outside the regular course and scope of her association with her member firm. The findings stated that Cortez did not provide prior written notice to the firm describing in detail the proposed transactions and her proposed role in them, including whether she had received or would  receive selling compensation in connection with the transactions. The findings also stated that in the course of FINRA’s investigation into whether Cortez engaged in undisclosed private securities transactions and outside business activities while registered with the firm, FINRA sought on-the-record testimony from her. Cortez informed FINRA that she would not appear to testify at an on-the-record interview. (FINRA Case #2012031460902 )

FINRA records indicate that Cortez worked for Chase Investment Services Corp from 5/2002-2/1012.

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.

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