GLOBAL STRATEGIC INVESTMENTS LLC

Regulator action

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/18/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GLOBAL STRATEGIC INVESTMENTS, LLC (CRD No. 117028), Respondent. DISCIPLINARY PROCEEDING No. 2011025676501 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Beginning in November 2010, Global Strategic Investments, LLC ("GSI" or the "Firm") launched a new business line that immediately generated the majority of its revenues - facilitating currency exchanges through the
05/27/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GLOBAL STRATEGIC INVESTMENTS, LLC (CRD No. 117028), Respondent. DISCIPLINARY PROCEEDING No. 2011025676501 HEARING OFFICER: DS ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 27, 2015 INTRODUCTION Disciplinary Proceeding No. 2011025676501 was filed on September 8, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) ("Complainant").
Reference 2011025676501data-portal.finra.org data-portal.finra.org finra.org
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
08/19/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E072004014301 TO: Department of Enforcement NASD RE: Global Strategic Investments, LLC, Respondent CRD No. 117028 Justin DalMolin, Respondent Financial and Operations Principal CRD NO. 4666567 Pursuant to Rule 9216 of NASD Code of Procedure, Respondents Global Strategic, LLC and Justin DalMolin submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose
Reference E072004014301data-portal.finra.org finra.org

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