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

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.