Adam Anthony Ortega (CRD #5387197) Has 3 Judgment/Lien Disclosures on FINRA BrokerCheck

Adam Anthony Ortega (CRD #5387197) is a broker currently registered with PFS Investments Inc. His FINRA BrokerCheck report shows three judgment/lien disclosures. We reviewed his BrokerCheck report on April 14, 2026. If you invested with Adam Anthony Ortega and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Judgment / Lien

Adam Anthony Ortega FINRA BrokerCheck reflects three judgment/lien disclosures. Summaries of two disclosures are below. One additional judgment/lien disclosure also appears on the report.

On February 4, 2026, Adam Anthony Ortega FINRA BrokerCheck shows a civil judgment/lien for $6,351.24. It lists JP Morgan Chase Bank as the holder. BrokerCheck states the matter is outstanding and was filed in the Sixth Judicial Circuit Court in Pasco County, Florida, under case number 2024SC007046SCAXES.

On January 6, 2026, Adam Anthony Ortega FINRA BrokerCheck shows a civil judgment/lien for $1,469.96. It lists Capital One as the holder. BrokerCheck states the matter is outstanding and was filed in the Sixth Judicial Circuit Court in Pasco County, Florida, under case number 2024SC005862SCAXES.

Rule Summary #1: FINRA Rule 1122

FINRA Rule 1122 bars misleading or incomplete registration filings. Financial events such as unsatisfied judgments or liens must be reported accurately. Clear reporting helps investors and regulators review a broker’s record.

Rule Summary #2: FINRA Rule 2010

FINRA Rule 2010 requires high standards of commercial honor. Disclosure-related failures can raise concerns about candor and compliance. Accurate records matter because investors rely on them.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Adam Anthony Ortega:

Is currently registered with PFS Investments Inc.

Has passed the Securities Industry Essentials (SIE) exam. He has also passed Series 6 and Series 63.

Was previously registered with PFS Investments Inc. in Hicksville, New York.

Kurta Law Can Help

If you have worked with Adam Anthony Ortega and you have concerns about your investments, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | What Is Securities Fraud?

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.