Soreide Law Group, based in Pompano Beach, Florida, obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, March 2020.”
Antonio Gutierrez Puente (Also known as: Antonio G Puente, Tony Puente) (CRD #2695224, Delray Beach, Florida)
According to FINRA’s website, an Acceptance, Waiver and Consent (AWC) was issued in which Antonio Gutierrez Puente was barred from association with any FINRA member in all capacities on January 29, 2020.
Without admitting or denying FINRA’s findings, Puente consented to the sanction and to the entry of findings that he refused to provide on-the-record testimony requested by FINRA in connection with its investigation into whether he potentially violated FINRA rules by allegedly engaging in undisclosed outside business activities and/or private securities transactions while associated with a member firm.
(FINRA Case #2018059909701)
According to FINRA’s BrokerCheck, which can be found on FINRA’s website, Antonio Gutierrez Puente, has 4 disclosures on his CRD report. One of those disclosures is an, “Employment Separation After Allegations.” In August of 2018, Puente was discharged by VALIC FINANCIAL ADVISORS INC of Miami, Florida, following allegations of, “Registration terminated following conclusion of investigation into undisclosed outside business activity.”
Puente had been in the securities industry for 22 years and was listed with 2 firms. He was with VALIC FINANCIAL ADVISORS INC of Miami, Florida from February of 1999 to September of 2018.
If you’ve suffered financial losses due to the former broker Antonio Gutierrez Puente, who was previously listed with VALIC FINANCIAL ADVISORS INC of Miami, Florida, contact the South Florida-based law firm, Soreide Law Group and speak to a lawyer at no cost regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients before FINRA nationwide on a contingency fee basis—no fee to you if no recovery.
Diana Leon's BrokerCheck report shows a $700,000 settlement of a structured note arbitration in September 2026. Leon's CRD number is 4857407. The disclosure names Woodbury Financial as the firm, as do the other disputes on her report. Each involves structured notes, and each settled in September 2026.
Dunmore, Pennsylvania broker Charles Ehnot (CRD 872769) agreed to a two-month FINRA suspension and a fine in an AWC dated August 18, 2026. According to FINRA, he willfully failed to timely amend his Form U4. The missing items were an unsatisfied tax lien and an unsatisfied judgment. Ehnot consented without admitting or denying the findings.
A customer arbitration over investments bought in 2014 appears on Randall Mason's BrokerCheck report, and it ended in an award. Mason (CRD 1758777) denied the customer's unsuitability allegations in a statement on BrokerCheck. A second customer raised similar allegations in an earlier claim, which settled. Both disputes name Parkland Securities as the firm.
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