oreide 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.