FINRA Launches Investigation Into Securities Broker Antoine Souma Relating To Possible Concealment Of Client Complaint It appears that securities broker Antoine Nabih Souma (CRD#: 4210987, Los Angeles, California) is under FINRA investigation. Essentially, FINRA says in a December 2020 disclosure that it might take disciplinary action against Souma for possibly violating FINRA and MSRB rules […]

Clifford Jagodzinski, formerly of Morgan Stanley Smith Barney LLC (MSSB), claims he was fired for blowing the whistle on one of the firm's newest wealth managers, Harvey Kadden. According to the complaint, filed in U.S. District Court in the Southern District of New York, Kadden “was flipping preferred securities in a manner that was generating […]

Soreide Law Group, PLLC, was notified by FINRA today that the clients they represented against Morgan Stanley Smith Barney, LLC (“MSSB”)  were awarded 100% of compensatory damages, in addition to expert fees, pre-judgment interest, and costs.   In a published FINRA award, case number 10-02604, Attorney Lars Soreide, recovered for his clients, who were the heirs and trustees to […]