Anna Huiping Li of Tucson Arizona a stockbroker currently employed by BBVA Securities Inc. is the subject of a customer initiated investment related complaint which was settled on January 3, 2018 to resolve accusations that Li omitted information regarding the charges or fees pertaining to certificate of deposit investments purchased by the customer.
FINRA Public Disclosure additionally reveals that on March 9, 2016, a customer filed an investment related complaint concerning Li’s conduct in which the customer sought $9,000.00 in damages supported by allegations that when Li was associated with Charter One Investment Services, misrepresentations had been made to the customer concerning a fixed annuity held by the customer.
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