Tom Abel Puentes (CRD#1713812) and PEACHCAP SECURITIES, INC.

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Tom Abel Puentes (CRD#1713812) regarding allegations made regarding the following:

Claim(s) Made Against Tom Abel Puentes:

Claim Date: 3/31/2020

“Claimants allege inter alia, that certain Puerto Rico Municipal Bond investments purchased from 2009 to 2013 were unsuitable.”

This claim, as of this posting, is currently Settled with a claim amount of $616,320.00 .

The investor was paid $80,000.00 by the brokers’ firm.

See more information on FINRA’s BrokerCheck site for Tom Abel Puentes.

Were you a client of Tom Abel Puentes?

If you were a customer of Tom Abel Puentes and PEACHCAP SECURITIES, INC. from Camarillo, CA and had a similar issue or experience, we are interested in discussing a potential claim with you. Brokerage firms have a responsibility to supervise all representatives who are registered through their firm. (See our video “Warning signs of a bad financial advisor”). Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. The brokerage firm is not only legally responsible for the acts of its agents, like Tom Abel Puentes, the broker dealer may also be liable for investment losses sustained by customers for a failure to supervise. The Securities Lawyers at Halling & Cayo, S.C. have recovered millions of dollars for investors across the country.

The Securities Lawyers have successfully recovered millions of dollars for investors across the country and are currently considering bringing claims on behalf of individuals or groups of investors who have suffered losses. If you are a former customer of Tom Abel Puentes and PEACHCAP SECURITIES, INC. and have incurred investment losses, please contact the Securities Lawyers. You may be entitled to financial compensation, and we work on a contingency basis, meaning we only get paid if we recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to act quickly and speak with an attorney as soon as possible.


Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.