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 | 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 |
| 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 |