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Principal Securities Fires Jeff Bishop For Allegedly Violating Firm Policy

Jeff Bishop (CRD #: 2879349), a broker formerly registered with Principal Securities, allegedly violated the firm’s policies, according to his BrokerCheck record, accessed on February 14, 2023. Read on if you have questions about his alleged conduct as a broker.

Termination from Principal Securities

On January 10, 2023, Jeff Bishop was fired from Principal Securities after allegedly failing to follow the firm’s policies and procedures concerning trading in client accounts.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Jeff Bishop has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination
  • Series 26 – Investment Company Products/Variable Contracts Principal Examination

He has also worked for the following firms:

  • Principal Securities (CRD#:1137)
  • Mutual of Omaha Investor Services (CRD#:611)
  • UVEST Financial Services Group (CRD#:13787)
  • Park Avenue Securities (CRD#:46173)
  • MetLife Securities (CRD#:14251)
  • Metropolitan Life Insurance Company (CRD#:4095)

Kurta Law Can Help

If you worked with Jeff Bishop and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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