The Soreide Law Group, (888) 760-6552, based in Fort Lauderdale, Florida, has obtained the following summary of information from FINRA’s website, listed under “Disciplinary and Other FINRA Actions, July, 2014.”
Oilda Caridad Hernandez (CRD #1076766, Miami, Florida)
was barred by FINRA because she failed to appear for an FINRA requested investigation.
FINRA stated that they had requested Oilda Hernandez’s appearance to obtain information concerning an investigation arising out of a corporate wash sale sweep. These transactions involved non-U.S. corporate bonds
that her member firm executed. Hernandez informed FINRA that she would not be appearing for testimony.
(FINRA Case #2011030619901)
Oilda Caridad Hernandez, according to FINRA's BrokerCheck, was previously registered with the following securities firm(s):
MML INVESTORS SERVICES, LLC (CRD# 10409) - CORAL GABLES, FL
12/2013 - 03/2014
ACTIVA CAPITAL MARKETS, INC. (CRD# 42619) - MIAMI, FL
08/2009 - 03/2013
KOVACK SECURITIES INC. (CRD# 44848) - MIAMI, FL
12/2003 - 10/2008
THE PARTNERS FINANCIAL GROUP, INC. (CRD# 31979) - MIAMI, FL
11/2002 - 12/2003
THE PARTNERS FINANCIAL GROUP, INC. (CRD# 31979) - MIAMI, FL
11/1997 - 09/2002
RURAL SECURITIES, INC. (CRD# 39294) - MIAMI, FL
02/1996 - 12/1997
OPPENHEIMER & CO., INC. (CRD# 630) - NEW YORK, NY
01/1995 - 02/1996
THE PARTNERS FINANCIAL GROUP, INC. (CRD# 31979) - MIAMI, FL
06/1993 - 12/1994
AMERISECURITIES CAPITAL CORP. (CRD# 22111) 01/1990 - 02/1993
CULVER & DUNN SECURITIES CORPORATION (CRD# 21627)
This ends the information obtained from FINRA's Website.
(The Wikipedia definition of a "wash sale" is as follows: "a sale of a security, stock, bonds, or options, at a loss and repurchase of the same or substantially identical security shortly before or after. The regulations around wash sales are to protect against an investor who holds an unrealized loss and wishes to make it claimable as a tax deduction within the current tax year. The security is then repurchased in the hope that it will recover its previous value, which would only become taxable in some future tax year.")
Call Fort Lauderdale based Soreide Law Group for a free consultation with an attorney at: (888) 760-6552.
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