Carl Antaki Sanctioned by FINRA Over Unsuitable Trades

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 […]