Gamez failed to provide information and documents requested pursuant to FINRA Rule 8210 in connection with a FINRA investigation into whether Gamez used customer funds for personal reasons. As a result, Gamez violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

Between August 2021 and May 2024, Puente failed to disclose required mark-up and mark-down information on 1,379 retail customer confirmations in violation of FINRA Rules 2232 and 2010.

From June 2024 to April 2025, J. K. Financial willfully violated § 17(a)(1) of the Exchange Act and Exchange Act Rule 17a-14 and violated FINRA Rule 2010 by omitting required information on its Form CRS. From August 2020 to at least May 2024, J.K.