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Todd Puentes Formerly With Peachcap Securities, Inc. and Kestra Investment Services, LLC Has 30 Customer Complaints For Alleged Broker Misconduct

Who is Todd Puentes formerly with Peachcap Securities, Inc.?

Todd Puentes

Todd Puentes (CRD #1713812) who was formerly registered with Peachcap Securities, Inc. and located in Camarillo, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Peachcap Securities, Inc., Todd Puentes was associated with Kestra Investment Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Todd Puentes Customer Complaints

Todd Puentes has been the subject of 30 customer complaints that we know about to recover investment losses. Twenty-three of the customer complaints were settled in favor the investors. The other 7 customer complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Todd Puentes

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses were focused on the offer and sale of Puerto Rico Bonds. The allegations were generally unauthorized trading and unsuitable investment recommendations.

Todd Puentes Red Flags & Your Rights As An Investor

Of course, Todd Puentes did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Todd Puentes at Peachcap Securities, Inc. and Kestra Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Todd Puentes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Peachcap Securities, Inc. and Kestra Investment Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Peachcap Securities, Inc. Due To Todd Puentes

If you have questions about Peachcap Securities, Inc., Kestra Investment Services, LLC and/or Todd Puentes and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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