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 | 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 |
| 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 |