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Former Van Clemens Broker, Peter D. Monson, Suspended Six Months By FINRA For Alleged Excessive And Unsuitable Trading
Peter Douglas Monson (CRD # 2203309) was a Financial Advisor at Van Clemens & Co. Incoporated in Minneapolis, MN. Peter Monson has been in the securities industry since since 1992 and previously worked at 1st Discount Brokerage, Acument Securites, Inc., Global Financial Group, Inc. and Hayne Miller Financial, Inc. According to publicly available records released…
Former Valic Financial Advisors Broker, Antonio Gutierriez Puente, Barred By FINRA For Failing To Cooperate In Investigation Into Whether He Engaged In Private Securities Transaction
Antonio Gutierriez Puente (CRD # 2695224) was a Financial Advisor at Valic Financial Advisors, Inc. in Miami, FL. Antonio Gutierriez Puente has been in the securities industry since since 1996 and previously worked at The Variable Annuity Marketing Company. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in January 2020,…
Investors In Market Linked Notes And Steepener Notes Continue To Experience Loss Of Principal And Income
The Wolper Law Firm, P.A. is expanding its investigation of brokerage firms and financial advisors who sold Steepener Notes, Adjustable Rate Market Notes, Spread Linked Notes and Structured Notes. In recent years, brokerage firms and Financial Advisors across the country have aggressively marketed and sold Steepener Notes, Adjustable Rate Market Notes, Spread Linked Notes and…
Investors In Market Linked CDs Continue To Experience Loss Of Principal And Income
The Wolper Law Firm, P.A. is expanding its investigation of brokerage firms and financial advisors who sold market linked certificates of deposit (“Market Linked CDs”) a/k/a structured certificates of deposit (“Structured CDs”), adjustable rate certificates of deposit (“Adjustable Rate CDs”) and equity-linked certificates of deposit (“Equity Linked CDs”) to retail customers. In recent years, brokerage…
