Stacy Puente

Stacy Jo Puente, age 42, Holland, MI View Details

Cities: Holland MI Possible Relatives: Linda Joann Carter, Linda Rose Jackson-carter, Leonardo Alfonso Montecillo

Stacy Rae Puente, age 45, Port Isabel, TX View Details

Cities: Port Isabel TX, Harlingen TX Possible Relatives: Blanca O Puente, Desiderio Puente, Dulse Maria Puente

Stacy A Puente, age 50, Arlington, VA View Details

Locations: Arlington VA Possible Relatives: Peter Alexander Dabrowski, Becky Puente

Stacy Anne Puente, age 48, Houston, TX View Details

Locations: Houston TX, Katy TX Possible Relatives: Ida Linda Evans, Juan C Gonzales

Stacy Rae Puente, age 30s, Mcallen, TX View Details

Locations: Mcallen TX, Port Isabel TX Possible Relatives: Amanda T Puente, Gregorio G Puente, Lucinda Bernal Puente

Stacy Lynn Puente, age 30s View Details

Possible Relatives: Joseph A Davenport, Thomas Ezra Davenport, Raul R Puente

Stacy S Puente View Details

Address:***** County Road 2xxx, Unit 3, Bigfoot, TX. Phone Number: (830) 334-****

Stacy Puente View Details

Address:***** Speedway, Austin, TX

Stacy A. Puente | Elkins Kalt Weintraub Reuben Gartside LLP

elkinskalt.com › team › stacy-a-puente

Stacy's expertise includes general commercial and securities litigation, internal investigations, mediation, arbitration, and securities industry regulatory counseling. Prior to joining the firm, Stacy was appointed Ombuds of the Securities and Exchange Commission (SEC), where she was responsible for resolving public concerns about the SEC and the self-regulatory organizations (SROs) subject ...

The SEC can limit mandatory arbitration by RIAs. But will it ever?

www.investmentnews.com › rias › the-sec-can-limit-mandatory-arbitration-by-rias-but-will-it-ever › 258555

"The inclusion of these types of restrictive clauses … like claim limitations, damage limitations … are most likely harmful to clients," said Stacy Puente, ombudsman at the SEC.

RIAs' Mandatory Arbitration Clauses Could Violate Fiduciary Duty: Panel

www.advisorhub.com › rias-mandatory-arbitration-clauses-could-violate-fiduciary-duty-panel

At a minimum, Puente said that RIAs should be required to make more fulsome disclosures about their arbitration usage. Finra arbitrations, for example, appear on brokers' public BrokerCheck ...

Not so Mandatory Arbitration: SEC's Investor Advisory Committee ...

www.sgrlaw.com › client-alerts › not-so-mandatory-arbitration-secs-investor-advisory-committee-examines-regulatory-changes-for-registered-investment-advisors

This was also the position recommended by panelist Stacy Puente, who currently serves as the Ombuds of the SEC. As Ombuds, Puente is responsible for evaluating the effects of proposed SEC and self-regulatory organization (SRO) rules on retail investors, then reporting the results to the SEC and Congress for consideration.

Investor Advisory Committee Meeting Agenda - SEC.gov

www.sec.gov › about › advisory-committees › investor-advisory-committee › investor-advisory-committee-meeting-agenda-2024

Stacy A. Puente, Ombuds and Assistant Director, Office of the Investor Advocate, U.S. Securities and Exchange Commission. SEC OIAD Report on Activities: Fiscal Year 2023; Kevin Carroll, Deputy General Counsel, Litigation and Private Client (Legal), SIFMA;

SEC panel reviews mandatory arbitration clause in investment advisory ...

insurancenewsnet.com › innarticle › sec-panel-reviews-mandatory-arbitration-clause-in-investment-advisory-agreements

The SEC Ombuds and assistant director of the Office of the Investor Advocate, Stacy Puente, presented results from a recent study showing that 61% of examined RIA agreements had required ...

Stacy A. Puente - Counsel - Elkins Kalt Weintraub Reuben ... - LinkedIn

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View Stacy A. Puente's profile on LinkedIn, a professional community of 1 billion members. Elkins Kalt, LLP · Litigation, conflict and dispute resolution, internal investigations, arbitration ...

SEC's investor advocate spells out to-do's

www.regcompliancewatch.com › secs-investor-advocate-spells-out-to-dos

The new report dedicates a section to SEC Ombuds Stacy Puente. Her concerns include misinformation being provided on social media that can mislead investors. A second issue is FINRA arbitration. She promised "to study the potential impact of discovery disputes on the cost, duration, and outcomes for investors in these arbitrations." ...

Stacy Puente | General Attorney | SEC - OpenPayrolls

openpayrolls.com › employee › stacy-puente-9725

United States Securities and Exchange Commission (SEC) records show Stacy Puente held one job between 2015 and 2022. One of the most recent records in 2022 lists a job of General Attorney and a pay of $180,539. This is 3.9 percent higher than the average pay for co-workers and 160.3 percent higher than the national average for government employees.