Financial Industry Regulatory Authority
In the Matter of Hugo Hernandez
Settled
Hugo Hernandez refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into whether he failed to return investment funds, engaged in undisclosed private securities transactions and outside business activities (OBAs), or borrowed money from customers in violation of FINRA rules, according to FINRA.
Summary generated from official Financial Industry Regulatory Authority press release
Source: Financial Industry Regulatory Authority Press Release ↗Parties
Defendants / Respondents
- Hugo Hernandez
Dates
Resolved
January 22, 2026
Published
January 23, 2026
Case Details
Industry
Finance