Antoine Nabih Souma
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/05/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057692701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Antoine Nabih Souma (Respondent) General Securities Representative CRD No. 4210987 Pursuant to FINRA Rule 9216, Respondent Antoine Nabih Souma submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition
Reference 2018057692701finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/21/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071366301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Antoine Nabih Souma (Respondent) Former General Securities Representative CRD No. 4210987 Pursuant to FlNRA Rule 9216, Respondent Antoine Nabih Souma submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FlNRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2021071366301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4210987 |
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