Tag Archives: Tom Abel Puentes

Kestra Sanctioned For Violating Heightened Supervision Of Broker With 30 Complaints

January 22, 2020  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Tom Abel Puentes of Camarillo California a stockbroker formerly associated with Kestra Investment Services LLC has been fined $12,500.00 supported by allegations that (1) the stockbroker failed to comply with a heightened supervision plan implemented because of his misconduct in the securities industry and (2) Puentes failed to report customer complaints concerning transactions he effected […]

Read More »