The following summation of information is from FINRA's website under, "Disciplinary and Other Actions, March, 2014."
Ariel Luis Hernandez (CRD #2684424, Registered Principal, Pembroke Pines, Florida)
was barred by FINRA. Hernandez, according to FINRA's report, allegedly did not comply with requests for documents, information and testimony.
FINRA began an investigation because of a Uniform Termination Notice for Securities Industry Registration (Form U5) filed by Hernandez’s firm alleging that Ariel Hernandez had wired money from a client’s brokerage account to a bank without the client’s knowledge or permission. This also disclosed an alleged pending customer dispute concerning the same allegations. The alleged compensatory damages total amount was $158,000.
(FINRA Case #2013039262201)
Ariel Luis Hernandez is not currently registered with any FINRA firm. He was previously registered with the following FINRA firm(s):
LIBERTY PARTNERS FINANCIAL SERVICES, LLC (CRD# 130390) - PEMBROKE PINES, FL
08/2010 - 11/2013
SUMMIT BROKERAGE SERVICES, INC. (CRD# 34643) - PEMBROKE PINES, FL
09/2009 - 08/2010
J. B. HANAUER & CO. (CRD# 6958) - PLANTATION, FL
12/2008 - 09/2009
WACHOVIA SECURITIES, LLC (CRD# 19616) - PEMBROKE PINES, FL
10/2007 - 12/2008
METLIFE SECURITIES INC. (CRD# 14251) - PLANTATION, FL
06/2007 - 10/2007
INVESTORS CAPITAL CORP. (CRD# 30613) - GROVETOWN, GA
07/2006 - 01/2007
UVEST FINANCIAL SERVICES GROUP, INC. (CRD# 13787) - CHARLOTTE, NC
01/2005 - 02/2006
ATLAS SECURITIES, INC. (CRD# 20991) - SAN LEANDRO, CA
12/2003 - 07/2004
CUNA BROKERAGE SERVICES, INC. (CRD# 13941) - WAVERLY, IA
12/2002 - 12/2003
PFIC SECURITIES CORPORATION (CRD# 34941) - FRANKLIN, TN
04/2000 - 10/2002
MML INVESTORS SERVICES, INC. (CRD# 10409) - SPRINGFIELD, MA
07/1999 - 04/2000
LINCOLN FINANCIAL ADVISORS CORPORATION (CRD# 3978) - FORT WAYNE, IN
01/1999 - 03/1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (CRD# 2580) - FORT WAYNE, IN
01/1999 - 03/1999
EQ FINANCIAL CONSULTANTS, INC. (CRD# 6627) - NEW YORK, NY
12/1995 - 05/1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD# 4039) - NEW YORK, NY
12/1995 - 05/1996
This ends the summation of information from FINRA's website.
Soreide Law Group can be reached (954) 760-6552. Soreide Law Group is located in Fort Lauderdale and represents investors nationwide before FINRA. If you experienced losses due to your financial advisor's or broker's recommendations, call for a free consultation.
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