Joseph Peter Orozco

Joseph Peter Orozco (CRD #1019164, Registered Representative, Burbank, California) submitted an Offer of Settlement in which he was barred from association with any NASD member in any capacity. Without admitting or denying the allegations, Orozco consented to the described sanction and to the entry of findings that he received a $471,280.09 check from public customers to be invested, but instead, he retained possession of the check and falsely represented to the customers that it had been deposited and the securities had been purchased. The findings stated that Orozco submitted written reports to his member firm that stated that he had not received any customer correspondence, even though he had received letters from his customers inquiring about the status of their accounts. The findings also stated that Orozco made false statements to public customers regarding the check and the securities. The findings also included that Orozco failed to complete an NASD on-the-record interview and provide requested testimony. (NASD Case #C0220040045/E0220030808)

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The Law Office of David Liebrader, Inc.


601 S. Rancho Drive, Ste.#D-29
Las Vegas, NV 89106
Phone: 702-380-3131
Fax: 702-380-3102
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