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.
Soreide Law Group is investigating potential investor claims involving Cambridge Investment Research following a FINRA disciplinary action concerning Unit Investment Trust (UIT) recommendations. In April 2026, FINRA censured Cambridge Investment Research after finding supervisory deficiencies involving certain UIT recommendations made to retail clients. Investors who incurred excessive fees, unnecessary costs, or other damages associated with […]
Soreide Law Group is investigating potential investor claims involving Infinity Financial Services after FINRA sanctioned the firm for supervisory failures involving deferred variable annuity exchanges and recommendations. Investors who incurred surrender charges or other losses in connection with variable annuity transactions recommended through Infinity should review the allegations that led to FINRA's disciplinary action against […]
Soreide Law Group is investigating potential investor claims involving losses in NextGenTech Investments LLC, a private fund managed by Sestante Capital LLC that purported to provide investors with economic exposure to shares of private companies, including Anduril Industries. Recent criminal proceedings involving Sestante Capital's manager have raised significant concerns regarding the offering, the representations made […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com