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
  • UBS Adviser Alex Williams: Investor Alleges Unsuitable Options Investment

    Alex Williams (CRD# 2646185), a broker and investment adviser based in New York, has received a pending customer complaint. According...

    Read More
  • $600K Options Complaint Against Los Angeles Broker Bill Calvert

    Financial Industry Regulatory Authority (FINRA) records indicate that UBS Financial Services broker Bill Calvert (CRD# 1023796) has received a pending...

    Read More
  • UBS’ Timothy Croak: Unsuitable Options Strategy Allegations

    Timothy Croak (CRD# 840899), a New York City-based broker and investment adviser, has received a pending customer complaint, according to...

    Read More
  • Wendy Holmes: UBS Adviser Has $1.4M in Pending Options Overlay Complaints

    Wendy Holmes (CRD# 2944190), a broker and investment adviser registered with UBS Financial Services, has received two pending customer complaints...

    Read More
  • Previous
  • Next