Peppi Pence Talley

Peppi Pence Talley is currently employed as a Broker and/or Investment Adviser at BBVA SECURITIES INC. located at 2200 POST OAK BOULEVARD, HOUSTON, TX, 77056.

Peppi Pence Talley has worked at BBVA SECURITIES INC. since May 16, 2013

Disclosure History

Peppi Pence Talley has 1 Disclosure Event(s).

Date: March 23, 2016
Category: Customer Dispute
Allegations: Attorney for court-appointed guardian/conservator of client complained regarding conservator's investment on behalf of ward in third-party brokered equity linked CDs. Attorney claimed the investment recommendation was unsuitable because a conservator is not authorized by law to invest in instruments that are not deposits in the savings department of a bank. Attorney claims that the certificates of deposit in question are "in substance securities of private corporations," despite the fact that each CD is an FDIC insurance bank time deposit.
Damage Amount Requested: $5,000.00

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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