BBVA Securities Inc.

Regulator action

United States. Named in 4 sanctions listings.

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Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/24/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041676201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BBVA Securities Inc., Respondent CRD No. 27060 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BBVA Securities Inc. ("BBVA" or the "Firm'') submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2014041676201data-portal.finra.org finra.org
Effective
21 Dec 2016
US Federal Reserve Enforcement Actions
Federal Reserve BoardUS Federal Reserve Enforcement ActionsUnited States
Civil Money Penalty, $27,000,000
Programme US-FED-ENFfederalreserve.gov federalreserve.gov
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/27/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022077355501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BBVA Securities Inc. (Respondent) Member Firm CRD No. 27060 Pursuant to FINRA Rule 9216, Respondent BBVA Securities Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2022077355501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/08/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070695401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BBVA Securities Inc. (Respondent) Member Firm CRD No. 27060 Pursuant to FINRA Rule 9216, Respondent BBVA Securities Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2021070695401data-portal.finra.org finra.org

Supporting documents1

Federal Reserve Board assesses $27 million civil money penalty against Banco Bilbao Vizcaya Argentaria, S.A., (BBVA) and its subsidiary, BBVA Securities, Inc.
2016-12-21
https://www.federalreserve.gov/newsevents/pressreleases/enforcement20161221a.htm

Other names1

Also known as1

BBVA Securities, Inc.

Addresses1

New York, New York

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