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Alicia Chester Suspended by FINRA for Allegedly Failing to Respond to FINRA Requests

Feb 28, 2022 FINRA Investigation

Alicia Chester (CRD #: 6358215), a broker formerly registered with BBVA Securities, was recently suspended for allegedly failing to respond to FINRA requests for information, according to her BrokerCheck Record accessed on February 16, 2022. Alicia Chester's alleged conduct is a violation of FINRA Rule 8210.

FINRA Rule 8210 requires members to provide information under oath, if requested, regarding any matter that pertains to an investigation, complaint, examination, or proceeding. A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires member firms and their associated persons to "observe high standards of commercial honor and just and equitable principles of trade."

Sanctions

Alicia Chester was suspended on January 3, 2022. If she fails to request termination of the suspension within three months of the date of the Notice of Suspension, she will automatically be barred on March 14, 2022.

Employment Termination Details

On October 5, 2020, BBVA Securities fired Alicia Chester after allegedly violating the bank's code of conduct for referring bank customers to third parties outside of the bank without evidence of the customer's consent.

Background Information

Alicia Chester has passed the following exams:

  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 6 - Investment Company Products/Variable Contracts Representative Examination

Besides BBVA Securities, Alicia Chester has not worked with any other firm.

Kurta Law Can Help 

If you have been victimized by Alicia Chester as a broker, don't hesitate to get in touch with us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.