Our Staff has compiled our research into a database of FINRA Broker Disclosures for . Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| 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 | 01/30/2017 | Customer Dispute | Closed-No Action | $31,000.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 03/06/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |