Tony Puente (CRD#: 2695224), a former registered representative with Valic Financial Advisors, Inc. (CRD#: 42803), has been barred from the securities industry by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on February 20, 2020. What happened to lead to Tony Puente’s permanent bar from the securities industry? As part of…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 24, 2017 indicate that Ohio-based Valic Financial Advisors broker/adviser Matthew Maxwell has received customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Maxwell (CRD# 2045911). Matthew Maxwell has spent 26 years in the securities…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) on June 22, 2016 indicate that former California-based Valic Financial Advisors broker Richard Hawkes is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints…

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