Financial

JP Morgan Advisor Antoine Souma Sanctioned by FINRA

JP Morgan Advisor Antoine Souma Sanctioned by FINRA for Inaccurate and Misleading Reports

A 21-year veteran of the brokerage industry and apparently a well-regarded one, Los Angeles-based Antoine Souma, has been fined $20K and placed on suspension for two months by the Financial Industry Regulatory Authority (FINRA). The …

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William “Eddy” Torriente (Comerica Securities) $50 Million Complaint

William “Eddy” Torriente (Comerica Securities) $50 Million Complaint Filed For Unauthorized Trading

A FINRA (Financial Industry Regulatory Authority) case was filed in March 2021 by a customer of Comerica Securities, where William “Eddy” Torriente, Jr. was employed at the time, claiming that he was in violation of …

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Investors Lawsuits Against Northstar Bermuda Surge

Sarah Komischke (Xiao Qin Komischke) Hit With $500K Northstar Financial Services Arbitration Lawsuit

Raymond James Financial Services has been slapped with a Financial Industry Regulatory Authority (FINRA) arbitration claim for losses incurred in investments in products of Northstar Financial Services (Bermuda). Former Raymond James broker Sarah Komischke, also …

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JPMorgan Broker Yonara Valerio Banned

JPMorgan Broker Yonara Valerio Banned Over COVID Relief Funds Investigation

The Financial Industry Regulatory Authority (FINRA) claims that it has banned another former JPMorgan broker who is accused of inappropriately obtaining economic relief from the federal government. According to BrokerCheck, JPMorgan has fired Yonara Valerio …

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GWFS Equities Fined $1.5M For Failure

GWFS Equities Fined $1.5M For Failure To Report Suspicious Activity On Accounts

Thanks to its ‘significant’ cooperation with investigating authorities, and subsequent implementation of remedial measures, GWFS Equities Inc. (GWFS) appears to have been spared some embarrassment and possibly stiffer penalties as the Securities Exchange Commission (SEC) …

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