ALEX GERARDO HERRERA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/08/2018: 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
Reference 2018058446601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3204779

Other names1

Also known as1

Alex G. Herrera

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