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 […]
David Khezri Under FINRA Investigation Over Excessive Trades
David Khezri (CRD #: 2736831), a broker registered with Network 1 Financial Securities, is under FINRA investigation according to his BrokerCheck record, accessed on November 24, 2021. FINRA Announces Investigation into David Khezri On May 26, 2021, FINRA made a preliminary determination to recommend that disciplinary action be brought against David Khezri. FINRA alleges that […]