Soreide Law Group obtained the following information fro:m FINRA’s Disciplinary Report and BrokerCheck:
ERIC S. DARTY (ERIC DARTY) CRD#: 6314905
a broker formerly with BBVA Securities in Birmingham, Alabama, was barred by FINRA on February 14, 2017, for failing to cooperate with a FINRA investigation into alleged misconduct.
The FINRA report stated that ERIC DARTY had been terminated from BBVA Securities in October after a series of alleged unauthorized transactions from November 2015 to October 2016 involving accounts or funds of clients of both BBVA and its affiliate bank.
The FINRA report stated that DARTY declined to provide bank and credit card statements, tax returns, cashiers' checks and other documents it requested.
FINRA has permanently barred ERIC DARTY from acting as a broker or otherwise associating with firms that sell securities to the public. DARTY had been registered in the securities industry for 2 years and was listed with 1 firm:
08/04/2014 - 11/03/2016 BBVA SECURITIES INC. - BIRMINGHAM, AL
If you were a client of former broker ERIC DARTY of BBVA Securities, Inc., and experienced financial losses due to his actions or recommendations, contact Soreide Law Group for a free consultation regarding the possible recovery of your losses at: 888-760-6552.
Soreide Law Group will represent clients nationwide before FINRA and we operate on a contingency fee basis.
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