FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Datesort ascending
Case ID 2018058446601 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058446601 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Alex G. Herrera, Respondent CRD No. 3204779 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Alex G. Herrera
Action Date 08/08/2018