John Ordonez Suspended by FINRA
John Ordonez (CRD #: 4308639) has been suspended by FINRA. This disclosure appears on his BrokerCheck record, accessed March 5, 2024. BrokerCheck also reveals he was most recently registered with Tradeup Securities. Keep reading if you have concerns regarding his alleged conduct.
Regulatory Action
On December 12, 2023, John Ordonez entered into an Acceptance, Waiver, and Consent agreement (AWC), in which he consented to the findings that he backdated documents. As part of the compliance department, he assisted in performing initial reviews of surveillance reports. When the firm asked him to collect documents that demonstrated evidence of these reviews, he allegedly signed and backdated blank cover sheets that he was responsible for to make them look up-to-date.
Terms of the AWC
As part of the terms of the AWC, John Ordonez consented to a 13-month suspension and a $10,000 fine.
You can read a copy of the AWC here.
Background Information
John Ordonez has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- Series 99TO Operations Professional Examination
- Series 79TO Investment Banking Registered Representative Examination
- Series 52TO Municipal Securities Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
During his 15 years of experience, he has registered with ten firms:
- Tradeup Securities (CRD #: 18483)
- US Tiger Securities (CRD #: 120583)
- Wolfe Research Securities (CRD #: 151850)
- Sunrise Brokers (CRD #: 151012)
- BGC Financial (CRD #: 19801)
- Guggenheim Securities (CRD #: 40638)
- Dominick & Dominick (CRD #: 7344)
- Ticonderoga Securities (CRD #: 7671)
- Soleil Securities Corporation (CRD #: 124737)
- Dresdner Kleinwort Securities (CRD #: 41957)
Kurta Law Can Help
If you have worked with John Ordonez and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.
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