FINRA Disciplinary Actions

The Financial Industry Regulatory Authority (FINRA) has barred Ronny Cruz (CRD #6892943) of Hamilton, New Jersey, from associating with any FINRA member firm in any capacity after he refused to provide documents and information during a regulatory investigation. On February 2, 2026, FINRA issued a Letter of Acceptance, Waiver, and Consent (AWC) under Case #2025085924401.

The Financial Industry Regulatory Authority (FINRA) has barred Anthony Tianfeng Cheng (CRD #6242405) of Milpitas, California, from associating with any FINRA member firm in any capacity after he refused to provide documents and information during a regulatory investigation. On February 2, 2026, FINRA issued a Letter of Acceptance, Waiver, and Consent (AWC) under Case #2025087880501.

The Financial Industry Regulatory Authority (FINRA) has barred Lyhen Fiallo (CRD #4579582) of Miramar, Florida, from associating with any FINRA member firm in any capacity after she refused to provide documents and information during a regulatory investigation. On January 26, 2026, FINRA issued a Letter of Acceptance, Waiver, and Consent (AWC) under Case #2025088525001. Without

The Financial Industry Regulatory Authority (FINRA) has barred Hugo Hernandez (CRD #6446187) of El Paso, Texas, from associating with any FINRA member firm in any capacity after he refused to appear for on-the-record testimony during a regulatory investigation. On January 23, 2026, FINRA issued a Letter of Acceptance, Waiver, and Consent (AWC) under Case #2024082783901.

The Financial Industry Regulatory Authority (FINRA) has barred James Thaddeus Walesa (CRD #1061209) of Park Ridge, Illinois, from associating with any FINRA member firm in any capacity after he failed to respond to repeated requests for documents and testimony during a regulatory investigation. On January 20, 2026, FINRA issued an Order Accepting Offer of Settlement