HAROLD EDWIN BISSETT JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HAROLD EDWIN BISSETT, JR., (CRD No. 858422) Respondent. Disciplinary Proceeding No. 2009016924901 COMPLAINT The Department of Enforcement alleges: RESPONDENT AND JURISDICTION 1. Harold Edwin Bissett, Jr. was first registered with a FINRA member firm as a general securities representative in October 1978. Bissett was also registered as a general
06/06/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HAROLD EDWIN BISSETT, JR., (CRD No. 858422) Respondent. Disciplinary Proceeding No. 2009016924901 Hearing Officer: LBB ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2009016924901 was filed on January 18, 2011, by the Department of Enforcement (Enforcement) of the Financial Industry Regulatory Authority (FINRA). Harold Edwin Bissett, Jr. submitted an
Reference 2009016924901finra.orgdata-portal.finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 858422 |
Other names1
Also known as1
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