Financial Industry Regulatory Authority (FINRA) barred securities broker Lyhen Fiallo (also known as Lyhen Hernandez) [CRD: 4579582, Hialeah, Florida], based on public information located on FINRA BrokerCheck. Lyhen Fiallo worked for PFS Investments Inc. from April 24, 2020, to December 31, 2024. Investors are encouraged to continue reading to find out more about this broker’s disclosures and regulatory history.
Evidently, on January 26, 2026, FINRA issued Case: 2025088525001 sanctioning Lyhen Fiallo for infractions. Mainly, FINRA alleged that Fiallo refused to provide documents and information requested during an investigation.
According to the regulatory findings, FINRA had requested information from Fiallo on December 17, 2025, as part of an investigation into possible borrowing from a securities client. Fiallo acknowledged receiving the request but indicated she would not comply. By failing to provide the requested materials, she violated FINRA Rule 8210, which requires individuals to cooperate with regulatory investigations, and Rule 2010, which requires brokers to maintain high ethical standards.
Lyhen Fiallo Accepted Sanctions Imposed By FINRA For Violating Rules 8210 and 2010
As a result of this refusal, FINRA imposed a full industry bar. This type of sanction is considered severe because it permanently restricts the individual from working with any FINRA-registered firm. The findings were resolved through a Letter of Acceptance, Waiver, and Consent, meaning Fiallo accepted the sanctions without admitting or denying the allegations.
Have You Made Investments Through Financial Advisor / Securities Broker Fiallo?
Are you worried about investments you made through Lyhen Fiallo? If so, reach out to Soreide Law Group at (888) 760-6552 or online. Talk to a securities lawyer about a potential recovery of your investment losses. Soreide Law Group has recovered losses for many investors throughout the United States. Also, our securities attorneys work on a contingency fee arrangement and advance all costs. Fiallo and brokerage firms Fiallo worked for deny any accusations of sales practice violations.
