HERBERT TYRONE HUNT

09/09/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. HERBERT T. HUNT Registered Representative (CRD NO. 1632226) Respondent. Disciplinary Proceeding 2008015021001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Herbert Hunt exercised discretionary trading in the accounts of a customer in violation of NASD Rules 2510 and 2110. Additionally, he foiled to appear at his on-the-record

11/23/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. Herbert T. Hunt Registered Representative (CRD No. 1632226) Respondent Disciplinary Proceeding 2008015021001 Hearing Officer AHP Order Accepting Offer of Settlement Date: November 23, 2010 INTRODUCTION Disciplinary Proceeding Number 2008015021001 was filed on September 9, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority

Reference 2008015021001data-portal.finra.orgdata-portal.finra.orgfinra.org

06/16/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Herbert Tyrone Hunt CRD No. 1632226 Respondent. Disciplinary Proceeding No. 2007011831101 Hearing Officer SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 16, 2009 INTRODUCTION Disciplinary Proceeding No. 2007011831101 was filed on about December 15, 2008, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant).

Reference 2007011831101data-portal.finra.orgfinra.org