Antonio Puente, formerly with VALIC Financial Advisors, Barred from Securities Industry
Have you lost money with financial advisor Antonio Puente (Tony Puente) of Miami, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Antonio Gutierrez Puente. FINRA barred him from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Puente after he engaged in an outside business activity without disclosing such to his former brokerage firm, VALIC Financial Advisors.
Antonio “Tony” Puente was a financial advisor and registered representative of VALIC Financial Advisors from 1999 to September 2018. Hhe worked at a branch office in Miami, Florida.
Brokerage firms like VALIC Financial Advisors have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against VALIC Financial Advisors.