RedFlag, Allegation and/or Complaint against HEATHER M CORTEZ
Disclosure #1 for HEATHER CORTEZ
- Event Date: 4/17/1990
- Disclosure Type: Criminal
- Resolution: Final Disposition
- Criminal Charges :: Charges: SHOPLIFTING/THEFT
- Disposition: Pled guilty
- Broker Comment: I AM NOW 43 YEARS OLD AND THE MOTHER OF TWO AMAZING YOUNG MEN. I AM AN EXTREMELY HONEST, RESPONSIBLE, LAW ABIDING CITIZEN, AND WORK EVERY DAY TO LIVE MY LIFE WITH THE UPMOST INTEGRITY. I AM A CHRISTIAN, AND LIVE STRONGLY BY MY CORE CHRISTIAN VALUES IN BOTH MY PERSONAL AND PROFESSIONAL LIFE. I AM ACTIVE AS A VOLUNTEER AND LEADER IN MY CHURCH, AND FOR SEVERAL YEARS HAVE GIVEN MY TIME TO THE KING COUNTY SEXUAL ASSAULT RESOURCE CENTER AND THE PIKE PLACE SENIOR CENTER. I WAS ALSO VERY ACTIVE IN MY BOYS SCHOOLS AND PARENT TEACHER ASSOCIATIONS. I AM AN HONEST, RESPONSIBLE INDIVIDUAL AND I TAKE MY ROLE AS A FINANCIAL ADVISOR VERY SERIOUSLY. I WORK TO OFFER MY CLIENTS HONEST, SUITABLE RECOMMENDATIONS TO THE BEST OF MY ABILITIES, I AM CAUTIOUS WITH MY APPROACH, AND ALWAYS SEEK THE ADVICE OF MY BUSINESS PARTNERS, IN VARIOUS AREAS OF EXPERTISE IF NECESSARY. I AM TRULY SORRY AND EMBARRASSED FOR MY PAST MISTAKES, BUT HAVE SPENT THE PAST 24 YEARS OF MY LIFE SINCE THAT TIME BUILDING A RESPECTFUL HONEST LIFE FOR MYSELF AND MY FAMILY. THE MISTAKES I HAVE MADE IN THE PAST ARE NOT A REFLECTION OF WHO I AM AS AN INDIVIDUAL TODAY. I TAKE GREAT PRIDE IN THE TIME AND HARD WORK I HAVE PUT INTO BUILDING MY CAREER. BECOMING A LICENSED BANKER IS NOT ONLY AN INTRICATE PART OF MY CURRENT JOB ROLE, AND LIVELIHOOD FOR MY FAMILY, BUT IT IS A VITAL GROWTH STEP ON MY BANKING CAREER PATH. I TRULY HOPE THAT THE FOOLISH MISTAKE FROM MY PAST, WILL NOT STAND IN THE WAY OF MY FUTURE WITH UNION BANK. THANK YOU FOR ALLOWING ME THE OPPORTUNITY TO EXPLAIN MY CIRCUMSTANCES.
Should I file a FINRA complaint against brokers like HEATHER M CORTEZ?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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