Alicia Chester Investigation
June 2022-Southlake, TX
According to publicly available records Alicia Chester a currently unregistered broker who last worked for BBVA Securities, discloses a final regulatory matter resulting in a permanent bar from the industry and a termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 3/2022 FINRA permanently barred Chester from the industry to resolve allegations that Chester failed to respond to FINRA requests for information.
In 12/2020, Chester was terminated from employment with BBVA Securities, Inc., for violating the bank’s code of conduct for referring bank customers to third parties outside the bank without evidence of the customer’s consent. Chester had been with BBVA Securities, Inc. since 1/2015.
If you have suffered losses in an account handled by Alicia Chester, contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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