Thomas Niles Enters AWC with FINRA

by Admin Istrator | November 21, 2021 3:52 pm

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 of enforcement orders from the California Department of Insurance and Florida Department of Financial Services[1].

2015047225601-Thomas-F-Niles-CRD-2264883-AWC-sl-2019-1563351562874[2]Download[3]

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Endnotes:
  1. Florida Department of Financial Services: https://www.myfloridacfo.com/
  2. 2015047225601-Thomas-F-Niles-CRD-2264883-AWC-sl-2019-1563351562874: https://mdf-law.com/wp-content/uploads/2021/11/2015047225601-Thomas-F-Niles-CRD-2264883-AWC-sl-2019-1563351562874.pdf
  3. Download: https://mdf-law.com/wp-content/uploads/2021/11/2015047225601-Thomas-F-Niles-CRD-2264883-AWC-sl-2019-1563351562874.pdf

Source URL: https://mdf-law.com/thomas-niles-janney/

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