Herbert G. Frey | FINRA Disciplinary Action

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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063960201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Herbert G. Frey (Respondent) Former General Securities Representative CRD No. 214237 Pursuant to FINRA Rule 9216, Respondent Herbert G. Frey submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Case ID Number: 2019063960201

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