Antoine Souma Barred by FINRA Following Investigation


Antoine Souma (CRD #: 4210987), a broker formerly registered with Insigneo Securities in Beverly Hills, California was barred by FINRA for failing to cooperate in an investigation into his conduct, according to his BrokerCheck record, accessed on February 23, 2023. If you invested with Antoine Souma, please call our law office at 800-767-8040. Our law […]

Mario Divita Suspended by FINRA


Mario Divita (CRD# 1504199) was recently sanctioned by the Financial Industry Regulatory Authority (FINRA) over alleged supervisory failures. According to his FINRA BrokerCheck report, last accessed on December 15, 2021, Mr. Divita is registered with Traderfield Securities in Flushing, New York. FINRA: Mario Divita Failed to Detect Red Flags of Excessive Trading In November 2021 […]

Andrew LeBlanc Enters AWC with FINRA


Andrew LeBlanc (CRD 2607117) has entered into an AWC with FINRA. Andrew LeBlanc is currently registered with Bruderman Brothers in Locust Valley, New York. Here is a copy of the AWC: Did You Lose Money Investing? Notice: JavaScript is required for this content. Print this Article

Carl Antaki Sanctioned by FINRA Over Unsuitable Trades

Evergreen Financial Group Rep Jonathan Pyne Involved in Investor Dispute

Carl Antaki (CRD 4177543) and FINRA entered into a Letter of Acceptance, Waiver and consent on May 20, 2021. According to the AWC, Carl Antanki recommended a pattern of excessive trades in his customer’s accounts. Carl Antanki is currently registered with Network 1 Financial. Here is a copy of the AWC: Did You Lose Money […]

Thomas Niles Enters AWC with FINRA


Thomas Niles (CRD #2264883) has entered into a letter of Acceptance, Waiver and Consent with FINRA. Niles is currently registered with Janney Montgomery Scott. The AWC resolves complaints related to short term trading of Unit Investment Trusts, or UITs. According to Thomas Niles’s BrokerCheck report, accessed on November 12, 2021, he is also the subject […]