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The broker also purportedly neglected to disclose an outside real estate business to BBVA, FINRA said.
March 27 -
As second-story advisers, they can focus on servicing their books without the burden of helping the branches with training and sales development.
May 17 -
The broker was terminated after a series of unauthorized transactions involving the accounts of customers of both BBVA and its affiliate bank, FINRA claimed.
February 15