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 | 07/01/2015 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 06/25/2015 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 06/23/2015 | Customer Dispute | Settled | $216,084.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 04/22/2015 | Customer Dispute | Settled | $236,547.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 04/22/2015 | Customer Dispute | Settled | $236,547.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 03/24/2015 | Customer Dispute | Settled | $111,138.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 01/16/2015 | Customer Dispute | Settled | $373,000.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 10/30/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tom Abel Puentes | 1713812 | 35 | 03/12/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 10/24/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |