CESAR G. HERNANDEZ

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/19/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016158801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Global Strategic Investments LLC, Respondent Member Firm CRD No. 117028 Cesar G. Hernandez, Respondent General Securities Principal CRD No. 3249722 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Global Strategic Investments LLC, ("Global") and
Reference 2009016158801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/24/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064249401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cesar Gabriel Hernandez (Respondent) Former General Securities Principal CRD No. 3249722 Pursuant to FINRA Rule 9216, Respondent Cesar Gabriel Hernandez submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019064249401finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	3249722

Other names1

Also known as1

Cesar Gabriel Hernandez

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