BRENT K. DEVINEY

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/18/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRENT K. DEVINEY (CRD No. 2131402), Respondent. Disciplinary Proceeding No. 2006004992601 Hearing Officer -LBB HEARING PANEL DECISION March 18,2008 For falsifying customer signatures and submitting falsified documents to a member firm and a non-member insurance company in violation of Conduct Rule 2110
Reference 2006004992601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/18/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRENT K. DEVINEY (CRD No. 2131402), Respondent. Disciplinary Proceeding No. 2012031125701 Hearing Officer - SNB DEFAULT DECISION June 18, 2012 Respondent is barred from associating with any member firm in any capacity for failing to respond to requests for information, documents, and testimony, in violation of FINRA Rule 8210 and FINRA Conduct Rule 2010. Appearances Michael A. Gross, Esq.,
Reference 2012031125701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2131402

Other names1

Also known as1

BRENT KEITH DEVINEY

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