Frank Bazan of Houston Texas is a stockbroker formerly registered with BBVA Securities Inc. who has been fined $20,000.00 and suspended for seven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he entered into an unapproved customer loan arrangement and outside business activity […]
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Tag Archives: Frank Bazan
FINRA Suspends BBVA Broker For Unapproved Customer Loan
April 05, 2018 | Posted by : Guiliano Law Group | Customer Loans, Investment and Regulatory News | 0 Comments