Our Staff has compiled our research into a database of FINRA Disclosures for Tom Abel Puentes. Search or filter the database to find more about this broker.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Tom Abel Puentes | 1713812 | 35 | 03/31/2020 | Customer Dispute | Settled | $616,320.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 03/31/2020 | Customer Dispute | Settled | $616,320.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 07/02/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 06/12/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 05/14/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 05/07/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tom Abel Puentes | 1713812 | 35 | 04/13/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 03/12/2018 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 02/07/2018 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 02/02/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |