Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that Texas-based BBVA Securities broker/adviser Careena Patel has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Patel (CRD# 5444676).
Careena Patel has spent eight years in the securities industry and has been registered with BBVA Securities in Dallas, Texas since 2016. Previous registrations include Fidelity Brokerage Services in West Hartford, Connecticut (2015-2016); LPL Financial in Glastonbury, Connecticut (2011-2014); NewAlliance Investments in Manchester, Connecticut (2010-2011: and Edward Jones in West Hartford, Connecticut (2009-2010). She has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on November 3, 2009; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which she obtained on September 22, 2009. She is a registered broker and investment adviser with two US states—Florida and Texas—and with one self-regulatory organization, FINRA.
According to her BrokerCheck report, she has received one customer complaint and one pending customer complaint.
In February 2019 a customer alleged Careena Patel, while employed at recommended unsuitable equity-linked and index-linked certificates of deposit in July 2018. The customer is seeking $117,000 in damages in the pending complaint.
In 2013 a customer alleged Careena Patel, while employed at LPL Financial Services, recommended unsuitable mutual fund investments. The complaint settled in 2014 for $53,000.
If you have lost money investing with Careena Patel, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.