Haselkorn & Thibaut has opened an investigation into Javier Hernandez, a financial advisor based in Green Bay, Wisconsin, and currently affiliated with KCD Financial (CRD# 2298668). If you have concerns about your investments or experienced losses connected to Mr. Hernandez, you may benefit from a free case review with our experienced legal team. Haselkorn & Thibaut is a leading national investment fraud law firm with a 98% success rate, 50+ years’ experience, and a “No Recovery, No Fee” policy.
Overview: Javier Hernandez, KCD Financial, Green Bay, Wisconsin
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Javier Hernandez is presently registered as a broker with KCD Financial in Green Bay, Wisconsin, having joined the firm in October 2025. With more than twenty-one years of industry experience, his professional record contains both regulatory investigations and resolved customer complaints, findings that current and past clients should be aware of.
Ongoing FINRA Investigation
According to the Financial Industry Regulatory Authority (FINRA), Javier Hernandez is currently under investigation for potentially serious violations. As of January 2026, an open inquiry concerns “whether violations of applicable federal securities laws or regulations or FINRA or MSRB rules have occurred.” The investigation does not specify exactly which regulations or activities are being reviewed, and the outcome, if any, is pending at this time. Such an active regulatory review should prompt investors to take proactive measures in understanding their accounts and investments.
Detailed Disclosure and Complaint History
| Date | Event/Disclosure Type | Firm/Context | Allegation | Outcome |
|---|---|---|---|---|
| Jan 2026 | Regulatory Investigation | KCD Financial | Potential violation of federal securities laws or FINRA/MSRB rules | Investigation ongoing |
| 1999 | Customer Complaint | First Liberty Investment Group | Unauthorized trades in OTC equities | Settled for $14,000 |
| 1999 | Customer Complaint | First Liberty Investment Group | Unauthorized transactions resulting in investment losses | Settled for $29,000 |
| 1999 | Customer Complaint | First Liberty Investment Group | Unauthorized trades | Settled for $8,406 |
Advisor Background and Licensing
- 21 years’ industry experience
- Registered with KCD Financial (since October 2025)
- Past affiliations: Cape Securities, Broad Street Securities, Lloyd Scott & Valenti, First Liberty Investment Group, Greenway Capital Corporation, White Rock Partners, William Scott & Company, AS Goldmen & Company
- Passed the Securities Industry Essentials (SIE), Series 63, and Series 7 exams
- Licensed in CA, CT, DC, FL, GA, ID, KY, LA, NV, NH, NJ, NM, NY, OH, OK, PA, SD, TX, UT, VT, WI, WY
What These Disclosures Mean for Investors
Regulatory investigations and customer complaint settlements, especially for unauthorized trades, signal potential red flags that all clients should recognize. While older complaints may not always reflect current practices, a pattern can prompt further inquiry. The active FINRA investigation underscores the importance of regular portfolio reviews and understanding the actions taken in your account.
For investors who have questions about their experience with Javier Hernandez, reviewing the publicly available BrokerCheck report can provide additional transparency into his record at KCD Financial. You may find information such as regulatory actions, customer disputes, and licensing status.
How Haselkorn & Thibaut Can Help
As national investment fraud attorneys with decades of experience, Haselkorn & Thibaut is dedicated to assisting investors who suspect they’ve suffered losses due to unauthorized trading, unsuitable recommendations, or other misconduct. Our team has a proven track record in recovering millions on behalf of clients, and we offer free consultations to help you understand your options with no obligation and no upfront fees.
Next Steps for Concerned Investors
- Review your account statements and trade confirmations
- Collect any correspondence from Javier Hernandez or KCD Financial
- Document your account activity and any conversations about trades or strategy
- Contact Haselkorn & Thibaut for a confidential discussion about your legal rights and options
If you have concerns regarding your investments with Javier Hernandez or KCD Financial, call Haselkorn & Thibaut at 1-888-885-7162 for your free consultation.
Our firm handles cases nationwide — with no recovery, no fee.
