Shawn Peter Bishop – Stockbroker and Account Executive Theft Fort Lauderdale, Florida FINRA Arbitration Attorney:
The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.
The monthly disciplinary information is referenced on the FINRA site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:
December 2014 Disciplinary and Other FINRA Actions
Shawn Peter Bishop (CRD #6262968, Crown Point, Indiana) submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Bishop consented to the sanction and to the entry of findings that he converted funds totaling $2,000 from his teller drawer at his member firm’s affiliate bank and used the funds for his personal benefit. The findings stated that Bishop returned some of the funds to his teller drawer without the bank’s detection. Bishop did not have permission or authority from the bank to use the teller drawer funds for his personal benefit. (FINRA Case #2014042331701)
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