BRENT R. BISHOP
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/24/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brent R. Bishop (CRD No. 2348912), Respondent. DISCIPLINARY PROCEEDING NO. 2010021827701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period February 2010 through August 2010, while registered with FINRA member PrimeVest Financial Services, Inc., Respondent Brent R. Bishop misappropriated approximately $40,000 from PrimeVest customers in violation of FINRA Rules 2150 and
03/06/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRENT R. BISHOP (CRD No. 2348912), Respondent. Disciplinary Proceeding No.2010021827701 Hearing Officer - MAD DEFAULT DECISION March 6, 2012 Respondent is barred from associating with any member firm in any capacity for converting customer funds, in violation of FINRA Conduct Rules 2150 and 2010; borrowing money from his customers, in violation of NASD Conduct Rule 2370, and FINRA Conduct Rules 3240
Reference 2010021827701data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2348912 |
Other names1
Also known as1
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