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BBVA Securities Stockbroker Barred In Investigation

February 27, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft | 0 Comments

Eric S. Darty, of Birmingham, Alabama, a stockbroker formerly registered with BBVA Securities Inc., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed an investigation into allegations that he converted customer funds. Letter of Acceptance, Waiver and Consent, No. […]

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BBVA Securities Stockbroker Barred In Investigation

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