Brian R. Bates, of Gilbert, Arizona, a stockbroker currently registered with BBVA Securities Inc., is the subject of a customer initiated investment related written complaint on May 2, 2017, where the customer requested $11,000.00 in damages founded upon allegations that Bates made misrepresentations to the customer and effected a variable annuity purchase that was not suitable.
Financial Industry Regulatory Authority (FINRA) Public Disclosure further reveals that on January 29, 2014, a customer filed an investment related written complaint regarding Bates’ activities, in which the customer sought $5,000.00 in damages based upon allegations that Bates, while registered with Chase Investment Services Corp, made misrepresentations to the customer concerning a managed account transaction.
FINRA Public Disclosure further indicates that Bates’ registration with prior employer, JP Morgan Securities LLC, was terminated on October 3, 2013, based upon allegations that he did not apprise the firm about his status as trustee on customer accounts.
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