The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Antonio Puente. Antonio Puente was a Florida based securities broker. He worked in the securities industry for 22 years. During his career, he was registered with just two different securities firms.
His Registrations
- The Variable Annuity Marketing Company (1996-2001)
- Valic Financial Advisors (1999-2018)
The Allegations
According to his publicly available FINRA BrokerCheck report, Antonio Puente was terminated from his position at Valic Financial Advisors in August 2018 following allegations that he engaged in undisclosed outside business activities. In January 2020, Antonio Puente was officially sanctioned by FINRA due to these allegations of engaging in outside business activities. Due to his alleged failure to comply with the FINRA investigation into the matter, he was in turn barred from acting as a securities broker in any fashion.
Oakes & Fosher Can Help
Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Antonio Puente, please contact Oakes & Fosher for a free and private consultation. We handle cases on a contingency basis, which means there are no fees charged unless we collect for you.
