Antoine Souma Disciplined by FINRA Over Misleading Reports

business-flat-lay-mac-coffee-glasses-and-newspaper

Antoine Souma (CRD #: 4210987), a broker registered with Insigneo Securities, was the subject of a FINRA investigation, according to his BrokerCheck record, accessed on January 6, 2022. FINRA: Souma Provided “Misleading” Account Reports According to FINRA, Souma provided customers with incorrect and misleading account reports.  These reports included incorrect account values and performance.  Souma […]

Mario Divita Suspended by FINRA

businesses-now-need-to-comply-with-all-standards-regulations-rules-requirements-laws-and-policies-to

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

library-court-books-justice-code-law-judge-lawyer-lawsuit

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

top-view-of-pen-magnifying-glass-a-cup-of-coffee-and-memo-notes-written-with-be-prepared-on-white

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 […]