If you’ve been contacted via WhatsApp or social media by someone claiming to represent Girard Bengali, please be aware this is a scam. Our attorneys never initiate legal services through these platforms. Learn more

AGGRESSIVE ADVOCACY. UNPARALLELED SERVICE.
Home > über > Herbert G. Frey | FINRA Disciplinary Action

Herbert G. Frey | FINRA Disciplinary Action

Girard Bengali
March 29, 2021

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

Previous
J.W. Cole Financial, Inc. | FINRA Disciplinary Action
Next
American Independent Securities Group, LLC, Ryan Carlson, Nicholas Cioffi | FINRA Disciplinary Action

Related Posts

A wells fargo sign in front of a building.
FINRA News

FINRA Fraud: Wells Fargo Manipulated Investor Arbitration Process?

In a bombshell decision, Atlanta’s Fulton County Superior Court has vacated an arbitration award to Wells Fargo Advisors LLC and Wells Fargo Clearing Services LLC…

Read More »
Girard Bengali
February 4, 2022
finra disciplinary actions securities fraud lawyer
FINRA Discipline

October 2021 FINRA Disciplinary Actions

COURTNEY MICHELLE KAPLAN (CRD #5249375, PALM HARBOR, FLORIDA) September 30, 2021 – An AWC was issued in which Kaplan was barred from association with any…

Read More »
Girard Bengali
October 14, 2021
finra disciplinary actions securities fraud lawyer
FINRA Discipline

FINRA Disciplinary Actions June 2021

WILLIAM EDWARDS ELLIS (CRD #6770635, WESTLAKE, TEXAS) May 25, 2021 – An AWC was issued in which Ellis was barred from association with any FINRA…

Read More »
Girard Bengali
June 8, 2021
FINRA Discipline

Raymond Alagao Velasco, Sr. | FINRA Disciplinary Action

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062922001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond Alagao Velasco,…

Read More »
Girard Bengali
April 1, 2021
FINRA Discipline

Jason V. McHenry | FINRA Disciplinary Action

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068649401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jason V. McHenry…

Read More »
Girard Bengali
March 31, 2021
FINRA Discipline

Candice E. Montie | FINRA Disciplinary Action

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064819501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Candice E. Montie…

Read More »
Girard Bengali
March 31, 2021
conference room where you can have free and confidential case evaluation

Contact Us for Your Confidential and Free Case Evaluation.

LEARN YOUR LEGAL OPTIONS
California homes

Business District, Newport Beach

Visit The Newport Beach Office
Call (866) 760-5009 or
VIEW OFFICE INFORMATION
Buildings in Los Angeles

Golden Triangle, Beverly Hills

Visit The Beverly Hills Office
Call (866) 760-5009 or
VIEW OFFICE INFORMATION
The skyline of san francisco at sunset.

Financial District, San Francisco

Visit The San Francisco Office
Call (866) 760-5009 or
VIEW OFFICE INFORMATION