Tag Archives: BBVA Securities Inc.

BBVA Securities Accused By Investors Of Misrepresentation

July 29, 2020  |   Posted by :   |   Securities Arbitration Claims, Structured Products   |   Comments Off on BBVA Securities Accused By Investors Of Misrepresentation

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 […]

Read More »

BBVA Securities Accused Of Fraud

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 […]

Read More »

BBVA Stockbroker Fired For Altering Retirement Account Beneficiaries

April 10, 2019  |   Posted by :   |   Forgery, Investment and Regulatory News   |   0 Comments

Joshua D. Griffin of Birmingham Alabama a stockstockbroker formerly employed by BBVA Securities Inc. has been terminated by the firm on July 7, 2018 during which time Griffin had been suspended and investigated by the firm concerning allegations of (1) Griffin’s impermissible altering of a customer’s individual retirement account certificate of deposit beneficiary designation and […]

Read More »

BBVA Stockbroker Barred In Investigation

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. […]

Read More »

Investors Blames BBVA In Currency Mishap

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 […]

Read More »

BBVA Blamed By Investors For Risky Investments

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 […]

Read More »

BBVA Securities Accused Of Overcharging Investors

November 03, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

Read More »

BBVA Accused By Investors Of Structured Note Fraud

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 […]

Read More »

BBVA Securities Accused of Note Fraud

July 16, 2018  |   Posted by :   |   Bond Fraud, Investment and Regulatory News, Securities Fraud   |   0 Comments

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 […]

Read More »

FINRA Suspends BBVA Broker For Unapproved Customer Loan

April 05, 2018  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

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 […]

Read More »

BBVA Compass Sued For Misrepresentation

July 29, 2017  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

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 […]

Read More »

BBVA Securities Stockbroker Barred In Investigation

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. […]

Read More »