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

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 relating to the registered representative’s use of discretionary trading without written authorization,” according to FINRA’s CRD Report. While employed at Morgan Stanley, Mr. Puentes was the subject of three customer complaints alleging sales practice violations, including unsuitability and unauthorized trading.

If you were a customer of stock broker Tom Puentes and sustained losses in your brokerage account at Morgan Stanley or his previous firm, Citigroup Global Markets, contact my law firm for a confidential, no cost consultation on whether you have a legal right to recoup your investment losses. Call toll-free at: 800-760-0912 or e-mail at:

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