DAVID HERZOG

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/31/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017605601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Herzog General Securities Representative CRD No, 1688885 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David Herzog submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2009017605601finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1688885

Other names1

Also known as1

DAVID JACOB HERZOG

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