Tag Archives: Frank Bazan

FINRA Suspends BBVA Broker For Unapproved Customer Loan

April 05, 2018  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

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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