Antonio Gutierrez Puente (Tony Puente) – Financial Advisor/Broker Tony Puente Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Tony Puente was a formerly licensed financial advisor with Valic Financial Advisors, Inc. According to Tony Puente’s BrokerCheck report, Tony Puente was barred from the securities industry in January 2020.
According to FINRA: Tony Puente consented to the sanction and to the entry of findings that Tony Puente refused to provide on-the-record testimony requested by FINRA in connection with its investigation into whether Tony Puente potentially violated FINRA rules by engaging in undisclosed outside business activities and/or private securities transactions while associated with a member firm.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Tony Puente and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Tony Puente’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Tony Puente and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 2/3/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
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