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SR-FINRA-2026-003

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to adopt FINRA Rule 7660B (FINRA/NYSE Trade Reporting Facility Fees For Non-Participants) to establish a new fee applicable to FINRA members that do not use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”) for trade reporting but elect to purchase specified services.

2025088525001 Lyhen Fiallo CRD 4579582 AWC lp.pdf

Fiallo refused to provide documents and information requested pursuant to FINRA Rule 8210. As a result, she violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

2021069391001 TPEG Securities, LLC CRD 146726 AWC lp.pdf

Between September 2018 and May 2024, TPEG distributed certain communications with the public that included projected investment performance and violated FINRA Rules 2210(d) and 2010. During the same period, TPEG violated FINRA Rules 4530, 3110 and 2010, and Article V, Section 2(c) of FINRA’s By-Laws, by failing to report certain customer complaints and by failing to establish and maintain a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with its customer complaint reporting obligations. For these violations, TPEG is censured and fined $1

2024082783901 Hugo Hernandez CRD 6446187 AWC LP.pdf

Hernandez refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210, in violation of FINRA Rules 8210 and 2010. For these violations, Hernandez is barred from associating with any FINRA member in all capacities.