David Jacob Herzog, Registered Representative, Houston, Texas

FINRA Investment and Stock Fraud Arbitration Attorney, Russell L. Forkey, Esq.

February, 2011:

David Jacob Herzog (CRD #1688885, Registered Representative, Houston, Texas) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Herzog consented to the described sanction and to the entry of findings that he failed to respond to FINRA requests for on-the-record testimony. (FINRA Case #2009017605601).