Nex Systems
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Charles Eugene Bishop Jr.

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/05/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. CHARLES EUGENE BISHOP, JR. (CRD No. 1621380) RESPONDENT. DISCIPLINARY PROCEEDING NO. 2009017699201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period from January to June 2009, Charles Eugene Bishop, Jr. ("Bishop") attempted to misappropriate approximately $3 million from an elderly, terminally-ill customer of his employer, Merrill Lynch, Pierce, Fenner & Smith, Inc.

    09/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Charles Eugene Bishop, Jr. CRD No. 1621380, Respondent. Disciplinary Proceeding No. 2009017699201 Hearing Officer: SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 10, 2012. INTRODUCTION Disciplinary Proceeding No. 2009017699201 was filed on December 5, 2011, by the Department of Enforcement of the Financial

    Reference 2009017699201data-portal.finra.orgfinra.orgdata-portal.finra.org

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