The Sonn Law Group has substantial experience representing investors who have suffered losses because of stockbroker fraud and other forms of misconduct. Call us today[…]
Frank Bazan (CRD# 5593113) is a Texas-based broker formerly employed with BBVA Securities. Bazan was recently suspended by FINRA after allegations that he submitted a compliance attestation to his firm that inaccurately stated he had not engaged in any outside business activities in 2013 and also that that he borrowed $150,000 from a firm customer without providing prior notice to or obtaining approval from his firm.
Bazan was suspended for 7 months and fined $20,000. Prior to his suspension by FINRA, Bazan resigned from BBVA after the allegations that he borrowed money from a client without the firm’s approval first surfaced.
If you’ve ever invested money with Frank Bazan we’d like to hear from you. Contact the Sonn Law Group today for a free review of your case.