Antoine Souma Disciplined by FINRA Over Misleading Reports

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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 […]

Avantax Reaches Settlement with the SEC over Fee Complaint

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On December 20, 2021, the Securities and Exchange Commission announced that it would be entering into a settlement with Avantax Advisory Services, Inc. Avantax was formerly known as 1st Global Advisors, Inc. The order, which is below, concerns conflicts of interests arising from the sale of mutual funds. SEC Order with Avantax Did You Lose […]