LUIS ALBERTO ORTIZ

LUIS ALBERTO ORTIZ is currently employed as a Broker and/or Investment Adviser at PRIVATE PORTFOLIO, INC. located at 7534 LA JOLLA BLVD, LA JOLLA, CA, 92037.

LUIS ALBERTO ORTIZ has worked at PRIVATE PORTFOLIO, INC. since April 22, 2009

Disclosure History

LUIS ALBERTO ORTIZ has 2 Disclosure Event(s).

Date: February 03, 2017
Category: Judgment / Lien
Judgment/Lien Amount: $3,609.20
Judgment/Lien Type: Civil
Broker Comment: The judgement has to do with a credit card balance that was from my marriage and it happened because of a dispute over the divorce settlement.

Date: October 27, 1995
Category: Customer Dispute
Allegations: I STARTED WORKING FOR BA INVESTMENT SERVICES ON APRIL, 1995 AND MRS. VALDEPENA HAD AN ACCOUNT WITH BA INVESTMENT SERVICES AND I WAS ASSIGNED AS HER REPRESENTATIVE ON THE EXISTING ACCOUNT. DURING THIS TIME SHE HAD HER ACCOUNT UNDER I NEVER PLACED ANY TRADES OR MADE ANY RECOMMENDATIONS TO HER.SHE WAS NOT SATISFIED WITH THE PERFORMANCE ON THE U.S GOV'T MUTUAL FUND THAT SHE HAD BOUGHT THROUGH THE OLD REPRESENTATIVE AND SO SHE FILED A CIVIL COMPLAINT ON 10/27/1995 ALLEGING THAT SHE WAS MISREPRESENTED BY BA INVESTMENTS AND THAT SHE HAD LOST $50,000.ON THE COMPLAINT HER ATTORNEY NAMED BA INVESTMENTS,THE OLD REPRESENTATIVE AND ME AS THE PARTIES INVOLVED. BA INVESTMENTS ATTORNEY'S REALIZED THAT I HAD NOTHING TO DO WITH THE CASE AND THEY PLEADED IN WRITING TO MRS VALDEPENA TO REMOVE MY NAME(LUIS A ORTIZ)FROM THE COMPLAINT, BUT THEY REFUSED. AT THE END BOTH PARTIES AGREED TO SETTLE THIS MATTER FOR $10,000. WITHOUT ADMITTING FAULT OR LIABILITY. BA INVESTMENTS PAYED THE AMOUNT.
Damage Amount Requested: $50,000.00
Settlement Amount: $10,000.00
Broker Comment: MATTER SETTLED

More Information

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