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.
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