Switch to ADA Accessible Theme
Close Menu
Free Consultation: 888-976-6111

Antonio Puente: Miami Broker Barred by FINRA

Antonio Puente (CRD# 2695224), formerly a broker registered with Valic Financial Advisors, has been barred by the Financial Industry Regulatory Authority in connection to allegations of potential undisclosed business activities and/or private securities transactions.

According to a Letter of Acceptance, Waiver and Consent (No. 2018059909701) dated January 2020, Antonio Puente was registered with Valic Financial Advisors as an investment company and variable contracts products representative from 1999 until September 2018, when the firm filed notice with FINRA of his termination. FINRA initiated an inquiry into whether he violated FINRA rules “by engaging in undisclosed outside business activities and/or private securities transactions” while he was a representative at Valic Financial Advisors. In connection with this investigation, FINRA sent him a request on December 23, 2019 to appear and provide on-the-record testimony to FINRA. The findings state that Puentes notified FINRA on January 8, 2020 that he had received its request but would not appear for the requested testimony “at any time.” FINRA states that this refusal constituted a violation of FINRA Rules 8210 and 2020. As a result of the foregoing alleged conduct, Antonio Puentes was barred from associating with any FINRA member in any capacity.

His FINRA-maintained BrokerCheck report also describes his 2018 termination from Valic Financial Advisors. The allegations listed in the disclosure state that he was terminated “following conclusion of investigation into undisclosed outside business activity.”

Antonio Puente is currently not registered as a broker or investment adviser. His previous registrations include Valic Financial Advisors and the Variable Annuity Marketing Company. He has passed three securities industry qualifying examinations—Securities Industry Essentials Examination, or SIE; Investment Company Products/Variable Contracts Representative Examination, or Series 6; and Investment Company Products/Variable Contracts Principal Examination, or Series 25—and his BrokerCheck report lists zero state securities licenses. (Information current as of May 20, 2020.)

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
Latest Blog Posts
  • Nathan Katz Barred by FINRA, Fired by American Independent Securities

    Former Largo, Florida stockbroker Nathan Katz (CRD# 846475) was the subject of a recent Financial Industry Regulatory Action sanction connected...

    Read More
  • FINRA Suspends Ex-Melville Broker Douglas Szempruch: Suitability

    Douglas Szempruch (CRD# 4159318), previously a stockbroker in Melville, New York, was sanctioned by the Financial Industry Regulatory Authority over...

    Read More
  • Stu Pearl: Ex-Indianapolis Rep Sanctioned over ETF Allegations

    Former Indianapolis stockbroker Stu Pearl (CRD# 1500833) has been sanctioned by the Financial Industry Regulatory Authority over findings he made...

    Read More
  • Former SagePoint Rep Gary Bowman Suspended: UIT Allegations

    Gary Bowman (CRD# 2035699) , an ex-SagePoint Financial stockbroker, has been sanctioned by the Financial Industry Regulatory Authority after findings...

    Read More
  • Previous
  • Next