Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tom Puentes (Puentes), previously associated with Peachcap Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Puentes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $616,320.00 on March 31, 2020.
Claimants allege inter alia, that certain Puerto Rico Municipal Bond investments purchased from 2009 to 2013 were unsuitable.