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 |
|---|---|---|---|---|---|---|---|---|
| John Mateyko | 3275621 | 9 | 04/28/2009 | Employment Separation After Allegations | $0.00 | $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 |
| Tom Abel Puentes | 1713812 | 35 | 01/29/2002 | Customer Dispute | Denied | $4,200,000.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 09/13/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tom Abel Puentes | 1713812 | 35 | 06/10/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |