Everett Bryant Ellis (also known as Rett Ellis) of Gulf Breeze, Florida, a stockbroker formerly registered with BBVA Securities Inc., is referenced in a customer initiated investment related complaint on March 3, 2022, where the customer requested $100,000.00 or more in damages based upon accusations that Ellis made unsuitable recommendations in connection with the recommendation…

Nicholas C. McMahan, of Leander, Texas, a stockbroker formerly registered with BBVA Securities Inc., is the subject of a customer initiated investment related written complaint which was settled for $18,588.00 on August 26, 2021, supported by allegations of the customer being provided with false information from McMahan regarding a structured note purchased in July of…

Adrian Torres Ortega of Sun City West Arizona a stockbroker formerly registered with BBVA Securities Inc. is referenced in an Arizona Corporation Commission Securities Division Order For Administrative Penalties and Order of Revocation where his stockbroker registration has been revoked based on Ortega being barred by a securities regulator. In the Matter of Adrian Torres…

Brian Robert Bates of Chandler Arizona a stockbroker currently associated with BBVA Securities Inc. has been referenced in a customer initiated investment related written complaint on February 7, 2020 in which the customer requested more than $5,000.00 in damages supported by allegations that misrepresentations had been made by Bates concerning insurance protections on a structured…

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 October 7, 2018 where the customer sought $235,000.00 in damages supported by allegations that (1) misrepresentations had been made by the stockbroker concerning certificate of deposits and (2) the…

Adrian Torres Ortega of Sun City West Arizona a stockbroker formerly employed by BBVA Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Ortega failed to cooperate with a FINRA investigation into accusations of his unauthorized transfer of a customer’s investment funds….

Mario Omar Martinez Chavez of El Paso Texas a stockbroker formerly registered with BBVA Securities Inc. is the subject of a customer initiated investment related written complaint on March 28, 2018 where the customer requested more than $5,000.00 in damages founded on accusations that Chavez neglected to abide by the customer’s instructions pertaining to a…

James David Armer of Albuquerque New Mexico a stockbroker formerly registered with BBVA Securities Inc. is referenced in a customer initiated investment related written complaint on December 7, 2018 where the customer sought damages estimated to exceed $5,000.00 based upon allegations that while associated with BBVA Securities Inc. Armer failed to inform the customer about…

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…

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…

Jeffrey Scott Richman of Boulder Colorado a stockbroker formerly employed by BBVA Securities Inc. is referenced in a customer initiated investment related written complaint on April 1, 2018, which was resolved for $29,669.65 in damages supported by accusations that the customer was sold an unsuitable corporate note given the lack of Federal Deposit Insurance Corporation…

Frank Bazan of Houston Texas is a stockbroker formerly registered with BBVA Securities Inc. who has been fined $20,000.00 and suspended for seven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he entered into an unapproved customer loan arrangement and outside business activity…

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…

Eric S. Darty, of Birmingham, Alabama, a stockbroker formerly registered with BBVA Securities Inc., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed an investigation into allegations that he converted customer funds. Letter of Acceptance, Waiver and Consent, No….