BRENT D. HURT

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042735801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: RedRridge Securities, Inc., Respondent Registered Broker-Dealer CRD No. 45976 Brent D. Hurt Registered Principal CRD No. 1976536 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RedRidge Securities, Inc. ("RedRidge" or the "Firm") and Brent D. Hurt ("Hurt,"
Reference 2014042735801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/31/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044172201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brent D. Hurt Registered Principal CRD No. 1976536 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Brent D. Hurt, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that
Reference 2015044172201data-portal.finra.org finra.org

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