BRADFORD K. DENT
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/09/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, v. Bradford K. Dent (CRD No. 1588966), Respondent. DISCIPLINARY PROCEEDING NO. 2009016893101 COMPLAINT The Department of Enforcement alleges: SUMMARY I. Bradford K. Dent ("Dent"), while registered with Carry & Company, Inc., placed unauthorized transactions in two firm customer accounts resulting in losses of $126,513.65. In addition, Dent failed to respond to three requests for information sent by
07/01/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRADFORD K. DENT (CRD No. 1588966), Respondent. Disciplinary Proceeding No. 2009016893101 Hearing Officer - MC DEFAULT DECISION July 1, 2011 Respondent is barred from associating with any FINRA member firm in any capacity for engaging in unauthorized transactions in customer accounts, in violation of NASD Rule 2110
Reference 2009016893101data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1588966 |
Other names1
Also known as1
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