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FINRA Broker Allegations

Allegations against: Herbert Garrett Frey

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Plaintiffs are seeking to recover damages suffered as a result of defendant's violations of the federal securities laws, defendant's fraud and deceit, defendant's breach of fiduciary duty and trust and defendants' other tortious and unlawful conduct in regards to purchase of american continental corporation securities.

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