JAMES HENRY BISCHOFF III

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/27/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES HENRY BISCHOFF III (CRD No. 2468603), Respondent. Disciplinary Proceeding No. 2011028975801 Hearing Officer - LBB DEFAULT DECISION September 27, 2012 Respondent is barred for conversion of customer funds, in violation of FINRA Rules 2150(a) and 2010. Respondent is also barred for failure to provide documents and information requested by FINRA, in violation of FINRA Rules 8210 and 2010. In
05/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James Henry Bischoff III (CRD No. 2468603), Respondent. DISCIPLINARY PROCEEDING No. 2011028975801 COMPLAINT The Department of Enforcement (the "Department") alleges: SUMMARY 1. While employed as a registered representative with Commonwealth Financial Network ("Commonwealth" or the "Firm"), James H. Bischoff III ("Bischoff") converted $120,000 from a customer for his own personal use, in violation of
Reference 2011028975801data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2468603

Other names1

Also known as1

James Henry Bischoff

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