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 | 07/03/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 01/30/2017 | Customer Dispute | Closed-No Action | $31,000.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 10/13/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 02/18/2016 | Customer Dispute | Settled | $101,501.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 01/14/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 01/04/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 10/05/2015 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 09/30/2015 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 09/16/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 08/10/2015 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |