Steven Ortega Named in Dispute Seeking Six Figures

Steven Ortega (CRD #: 1610914), a broker registered with Cambridge Investment Research, is involved in an investor dispute, according to his BrokerCheck record, accessed on June 28, 2025. Investors may have also worked with him through Cambridge Investment Research Advisors. Read on if you want to know more about his alleged conduct as a broker.

Investor Dispute

On May 1, 2025, Steven Ortega was named in a dispute alleging that a prenuptial agreement and a last will and testament were not taken into account when funds were distributed following his client’s death, resulting in the wrong party receiving funds. This pending dispute seeks $200,000 in damages.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Steven Ortega has passed the following exams:

• General Securities Principal Examination – Series 24
• General Securities Sales Supervisor – General Module Examination – Series 10
• General Securities Sales Supervisor – Options Module Examination – Series 9
• General Securities Principal Sales Supervisor – Series 23
• General Securities Sales Supervisor Examination (Options Module & General Module) – Series 8
• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Uniform Investment Adviser Law Examination – Series 65
• Uniform Securities Agent State Law Examination – Series 63

Steven Ortega is a registered broker in Connecticut, Florida, Michigan, Pennsylvania, and Texas. He is also a registered investment adviser in Connecticut and Texas.

He has also worked for the following firms:

• Westport Resources Investment Services (CRD#:24535)
• Westport Resources Management (CRD#:105306)
• Banc of America Investment Services (CRD#:16361)
• Quick & Reilly (CRD#:11217)
• People’s Securities (CRD#:13704)
• MetLife Securities (CRD#:14251)
• Metropolitan Life Insurance Company (CRD#:4095)
• First Union Brokerage Services (CRD#:8112)
• Citicorp Investment Services (CRD#:23988)
• Nathan & Lewis Securities (CRD#:8503)
• Charles Schwab & Company (CRD#:5393)
• Oppenheimer & Company (CRD#:630)
• L. F. Rothschild & Company (CRD#:501) 

Kurta Law Can Help

If you worked with Steven Ortega and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want 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.