Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hector Hernandez (Hernandez), previously associated with Peak Brokerage Services, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Hernandez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on November 20, 2023.
Without admitting or denying the findings, Hernandez consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into his potential failure to disclose an OBA while he was associated with his member firm.