Cesar Gabriel Hernandez Barred by FINRA

Soreide Law Group, based in South Florida, obtained the following information from FINRA’s website on the following broker who was registered with GENTEM CAPITAL LLC in Old Bridge, New Jersey and Miami, Florida:
Cesar Gabriel Hernandez (CRD #3249722, Miami, Florida)
On June 24, 2021, an Acceptance, Waiver, and Consent (AWC) was issued by FINRA in which Cesar Gabriel Hernandez was barred from association with any FINRA member in all capacities.
Without admitting or denying FINRA’s findings, Cesar Gabriel Hernandez consented to the sanction and to the entry of findings that he allegedly refused to appear for on-the-record testimony requested by FINRA in connection with an examination of his member firm’s anti-money laundering (AML) program.
(FINRA Case #2019064249401)
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Cesar Gabriel Hernandez was in the securities industry for 18 years and has 3 disclosures on his FINRA CRD report.
In October of 2010, Hernandez had another “Regulatory” report listed on his CRD in which he was suspended for three month and fined $25,000 following allegations in part of, “A MEMBER FIRM, ACTING THROUGH HERNANDEZ, FAILED TO ADEQUATELY IMPLEMENT OR ENFORCE ITS AML COMPLIANCE PROGRAM, OR TO OTHERWISE COMPLY WITH THEIR AML OBLIGATIONS, BY FAILING TO DETECT, ANALYZE, AND/OR REPORT HIGHLY SUSPICIOUS TRANSACTIONS, AND THE FIRM, ACTING THROUGH HERNANDEZ, ALSO FAILED TO ESTABLISH AND IMPLEMENT AN ADEQUATE CUSTOMER IDENTIFICATION PROGRAM.”
In addition to the 2 Regulatory disclosures on Cesar Gabriel Hernandez’ FINRA CRD report, there is a pending “Customer Dispute” filed in June of 2019, alleging, “Loses from a referral Breach of fiduciary responsibility,” seeking $15,000 in damages.
According to FINRA’s BrokerCheck, Cesar Gabriel Hernandez was listed with 3 firms, the most recent listed below:
07/25/2019 - 11/08/2019  GENTEM CAPITAL LLC - OLD BRIDGE, NJ
11/12/2004 - 10/24/2005  EDIFICE CAPITAL, INC - MIAMI, FL
06/06/2002 - 06/24/2019  GENTEM CAPITAL LLC - MIAMI, FL 
If you’ve experienced losses due to the actions or recommendations of Cesar Gabriel Hernandez, formerly with GENTEM CAPITAL LLC, contact the Florida-based Soreide Law Group and speak to a lawyer at no cost regarding the possible recovery of your investment losses through a FINRA arbitration at:  888-760-6552. 
Soreide Law Group works on a contingency fee basis, no fee to you if no recovery, and represents clients nationwide before FINRA.
CONTACT US