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December 23, 2014
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Tom Puentes Financial Advisor: Law Firm of David R. Chase, P.A. Investigates Possible Customer Claims of Unauthorized Trading and Improper Discretionary Trading

December 23, 2014
The Law Firm of David R. Chase, headed by former SEC Prosecutor, David R. Chase, is investigating possible customer claims of unauthorized trading and improper discretionary trading by Tom A. Puentes, formerly a broker with Morgan Stanley Smith Barney (Morgan Stanley). Morgan Stanley discharged Tom Puentes from employment on October 30, 2014, due to “allegations...
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