Our Staff has compiled our research into a database of FINRA Broker Allegations for Herbert Garrett Frey.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Herbert Garrett Frey | 214237 | 19 | 03/29/2021 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Herbert Garrett Frey | 214237 | 19 | 11/12/2019 | Customer Dispute | Award / Judgment | $83,476.00 | $45,000.00 | See Allegations |
| Herbert Garrett Frey | 214237 | 19 | 08/16/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| Herbert Garrett Frey | 214237 | 19 | 09/21/2016 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See Allegations |
| Herbert Garrett Frey | 214237 | 19 | 06/29/2016 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Herbert Garrett Frey | 214237 | 19 | 06/17/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| Herbert Garrett Frey | 214237 | 19 | 04/07/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| Herbert Garrett Frey | 214237 | 19 | 11/12/1989 | Customer Dispute | Award / Judgment | $29,870.00 | $8,000.00 | See Allegations |
| Herbert Garrett Frey | 214237 | 19 | 10/10/1989 | Customer Dispute | Settled | $170,000.00 | $0.00 | See Allegations |
| Herbert Garrett Frey | 214237 | 19 | 09/01/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |