Investors might have sustained losses due to securities broker Elizabeth Florence Ortiz (also known as Elizabeth Barber, Betsy Barber, and Betsy Ortiz) [CRD: 6818113, Austin, Texas], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ortiz has worked for Charles Schwab Co. Inc. from December 11, 2017, to the present. Read on to find out more about disclosures involving Ortiz.
Particularly, on September 11, 2025, a Charles Schwab Co. Inc. client filed Civil Action No. 3-25-cv-02436-B-BN about Elizabeth Ortiz. Mainly, the client alleged that Ortiz engaged in frontrunning the client’s account. Because of this, the client allegedly incurred damages on options. Consequently, the client requested compensation from Charles Schwab Co. Inc. or Ortiz. This civil suit is pending a resolution.
Frontrunning is an allegation that a securities broker or financial advisor traded securities for personal benefit before executing a client’s order. Regulators generally consider this conduct improper because the broker may use advanced knowledge of pending client trades to gain an unfair advantage in the market. Allegations of frontrunning can lead to client disputes, civil litigation, financial penalties, and possible sanctions imposed by securities regulators.
Did you experience losses because of Elizabeth Ortiz? Get in touch with Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for individuals throughout the country. Also, our securities lawyers handle cases on a contingency fee arrangement and advance all costs. Ortiz and brokerage firms Ortiz worked for deny allegations of sales practice violations.
JOSEPH KELLY (JOE KELLY) has been registered as a broker with VCS VENTURE SECURITIES of New York, NY since 6/17/2026. He was previously registered with SPARTAN CAPITAL SECURITIES LLC of New York, NY from 01/13/2017 - 12/18/2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSEPH KELLY has 21 years of experience […]
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