Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Joel Beeson (Beeson), previously employed by Bbva Securities INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Beeson’s most recent customer complaint alleges that Beeson recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $42,430.00 on March 23, 2020.
Customer purchased structured note in February, 2020. Following receipt of account statement, customer complained to the firm that the investment was unsuitable for her because of the fluctuation in value and her risk tolerance. Customer liquidated the position before her complaint was received by the firm, locking in the market loss.