BBVA Securities – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with BBVA Securities. If you suffered losses investing with BBVA Securities, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
BBVA Securities (CRD# 27060) (SEC# 8-42857)
As of October 26, 2016, BBVA Securities’s FINRA BrokerCheck Report contains the following:
7 Regulatory Event Disclosures
0 Civil Event Disclosures
0 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
1345 AVENUE OF THE AMERICAS 44TH FLOOR
NEW YORK, NY 10105-0302
Mailing Address
15 SOUTH 20TH
6TH FLOOR
BIRMINGHAM, AL 35233
Business Telephone Number
212-728-1500
Direct Owners and Executive Officers
BBVA COMPASS BANCSHARES, INC. – OWNER
ALVAREZ DE LA REGUERA, OSCAR (CRD# 5999084) – DIRECTOR, CO-HEAD GLOBAL CRED, SYND, DEBT CAP MKTS
DIXON, AMY M (CRD# 6608124) – MANAGING DIRECTOR, HEAD OF OPERATIONS, INSTITUTIONAL
GIGLIOTTI, DIANE KYUNG JOON (CRD# 3252691) – CHIEF FINANCIAL OFFICER
HAGEMANN, BRUCE ANDREW (CRD# 1922613) – DIRECTOR AND CEO
HULVEY, DOROTHY J (CRD# 5880903) – DIRECTOR AND HEAD OF OPERATIONS, RETAIL
JENSEN, PETER EGELUND (CRD# 2596069) – DIRECTOR, CHIEF OPERATIONS OFFICER AND PRESIDENT INSTITUTIONAL DIVISION
JIMENO MORENO, JUAN PABLO (CRD# 6319319) – DIRECTOR, CHAIRMAN
MCMURRAY, LORIN JAMES (CRD# 1719473) – DIRECTOR AND PRESIDENT BCIS DIVISION, DOMESTIC GROUP
MOSCARA, STEPHEN MICHAEL (CRD# 4564002) – FINOP
NEEL, DAVID SULLIVAN JR (CRD# 1884109) – CO-CHIEF COMPLIANCE OFFICER
RAMOS, REGIS RESENDE (CRD# 5205169) – DIRECTOR
SCHUBERT, PHILIP MICHAEL (CRD# 5285568) – DIRECTOR, US DCM
SPINELLI, JOSEPH CHARLES (CRD# 2436743) – CO-CHIEF COMPLIANCE OFFICER
URCIUOLI, CARMINE ROBERT (CRD# 1056791) – DIRECTOR, CREDIT MANAGMENT US
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with BBVA Securities and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
