Soreide Law Group, PLLC, is a Securities Arbitration Law Firm, (888) 760-6552. The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.”
Diego Fernando Hernandez (CRD #3054186, Registered Representative, Lonetree, Colorado)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Hernandez consented to the described sanction and to the entry of findings that he failed to respond to FINRA requests for information and documents in connection with its investigation into the possibility that Hernandez may have misappropriated funds from clients of his member firm.
FINRA's findings stated that Hernandez also engaged in outside business activities and did not disclose this activity to his firm, nor did he receive the firm’s prior approval. (FINRA Case #2013035802001)
Diego Fernando Hernandez was previously registered with FINRA at the following brokerage firms:
AXA ADVISORS, LLC
CRD# 6627
LAKEWOOD, CO
04/2012 - 02/2013
ALLSTATE FINANCIAL SERVICES, LLC
CRD# 18272
LAKEWOOD, CO
08/2005 - 04/2012
WADDELL & REED, INC.
CRD# 866
OVERLAND PARK, KS
09/1998 - 08/2005
This ends the information from FINRA’s website.
If you or a loved one have experienced investment losses due to your stock broker/financial advisor’s recommendations, or feel your funds may have been misappropriated, call Soreide Law Group for a free consultation with an attorney on how to potentially recover your losses: 888-760-6552.
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