fbpx

BBVA Securities

Scott Levine- Former Ascendiant Capital Markets Broker-Barred From Securities Industry by Regulators -Lake Worth, FL

Scott Levine- Former Ascendiant Capital Markets Broker-Barred From Securities Industry by Regulators -Lake Worth, FL 150 150 ER

Scott Levine Investigation July 2022-Lake Worth, FL According to publicly available records Scott H. Levine a former broker who last worked for Ascendiant Capital Markets,  discloses a final regulatory matter resulting…

read more

Alicia Chester- Former BBVA Securities Broker-Barred From Securities Industry by Regulators and Termination from Employment-Southlake, TX

Alicia Chester- Former BBVA Securities Broker-Barred From Securities Industry by Regulators and Termination from Employment-Southlake, TX 150 150 ER

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…

read more

Jeffrey Glenn-BBVA Securities Broker-Discloses Customer Dispute-San Antonio, TX

Jeffrey Glenn-BBVA Securities Broker-Discloses Customer Dispute-San Antonio, TX 150 150 Rex Securities Law

June 2020 -San Antonio, TX The FINRA records of Jeffrey N. Glenn  , a stockbroker registered with BBVA Securities, Inc. , disclose a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

read more

German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX

German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX 150 150 Rex Securities Law

April 2017- San Antonio, Texas The FINRA records of  German Ricardo Mora ,  a  former Merrill Lynch stockbroker who is currently not registered discloses two recent terminations from employment. The Financial Industry Regulatory Authority…

read more

Daniel Cabrera-BBVA Securities-Discloses Settlement Over Annuity Sales

Daniel Cabrera-BBVA Securities-Discloses Settlement Over Annuity Sales 150 150 Rex Securities Law

September 2016-Helotes, Texas The FINRA records of  Daniel A. Cabrera,  a  stockbroker who is currently employed by  BBVA Securities  disclose a prior customer dispute that was settled. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

read more

Texas State Securities Board Fines Stephen Scheurer-Bee Cave, TX

Texas State Securities Board Fines Stephen Scheurer-Bee Cave, TX 150 150 Rex Securities Law

September 2016-Bee Cave, Texas The FINRA records of  Stephen M. Scheurer,  a  stockbroker who was formerly employed by  Century Securities Associates  disclose a recent regulatory event with the Texas State Securities Board,  2 prior finalized customer…

read more

This site is protected by wp-copyrightpro.com