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Antonio Bauza is the Subject of a Six-Figure Dispute

Antonio Bauza (CRD #: 860146), a broker registered with Stonecrest Capital Markets, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on December 5, 2023. Details regarding the dispute are provided below. 

On September 22, 2023, an investor alleged that Antonio Bauza recommended unsuitable investments and breached his fiduciary duty. The investor is seeking $350,000. 

FINRA Rule 2111 – Unsuitable Investments 

FINRA Rule 2111 defines suitable investments as securities that fit an investor’s profile. Investor profiles have information on the investor’s age, risk tolerance, tax status, investing experience, and financial goals. Investments that do not take these factors into account may be unsuitable. This rule also prohibits overconcentration, as placing too much of a portfolio in a single sector exposes the investor to unnecessary risk. 

Civil Liens 

Antonio Bauza has four civil liens on his record that collectively total $46,670.72. 

Previous Investor Disputes

There are three previous investor disputes on his record. They were all denied by his firm. Investors should note that they can still recover losses following a denial. 

Background Information 

Antonio Bauza has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination

He is a registered broker and investment adviser in Florida. He is also a registered broker in Delaware, New York, and Puerto Rico. 

Since 2015, Antonio Bauza has registered with the following firms: 

  • Stonecrest Capital Markets (CRD #: 39616) 
  • Stonecrest Advisors (CRD #: 142095) 
  • Aegis (CRD #: 15007) 
  • RIWM (CRD #: 160536) 
  • Capital Guardian (CRD #: 137919) 

Kurta Law Can Help 

If you have worked with Antonio Bauza and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.