Michael Joseph Kane III of Allen Texas a stockbroker currently registered with BBVA Securities Inc. is referenced in a customer initiated investment related written complaint on November 27, 2017 in which the customer sought damages estimated to exceed $5,000.00 based upon accusations that in September of 2017, a structured note purchase was not suitable for the customer because it failed to address the customer’s needs for liquidity.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on March 17, 2017, a customer initiated investment related complaint involving Kane’s conduct was settled for $11,259.00 in damages based upon allegations that Kane made misrepresentations concerning the terms of index-linked certificate of deposits in September of 2016.
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