{"id":8679,"date":"2019-12-24T11:27:06","date_gmt":"2019-12-24T16:27:06","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8679"},"modified":"2020-02-28T13:26:14","modified_gmt":"2020-02-28T18:26:14","slug":"antoine-souma","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/antoine-souma\/","title":{"rendered":"Broker Antoine Souma Settles $14M Customer Dispute"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-8420 size-medium\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/06\/Cash4-300x200.jpg\" alt=\"Antoine Nabih Souma (CRD: 4210987) is a registered broker and investment advisor currently employed with Morgan Stanley (CRD#:149777) of Los Angeles, CA. His previous employers include J.P. Morgan Securities LLC (CRD#:79) and Deutsche Bank Securities Inc. (CRD#:2525), also of Los Angeles, and UBS Financial Services Inc. (CRD#:8174), of Beverly Hills, CA.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/06\/Cash4.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/06\/Cash4-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Antoine Nabih Souma (CRD: <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/4210987\" target=\"_blank\">4210987<\/a>) is a registered broker and investment advisor currently employed with Morgan Stanley (CRD#:149777) of Los Angeles, CA. His previous employers include J.P. Morgan Securities LLC (CRD#:79) and Deutsche Bank Securities Inc. (CRD#:2525), also of Los Angeles, and UBS Financial Services Inc. (CRD#:8174), of Beverly Hills, CA.<\/p>\n<p>A customer filed a dispute on 12\/27\/2016, alleging that between 2013 and 2015, Souma\u2019s negligence included, \u201c<em>exercise of discretion, excessive and unsuitable trading, falsified performance reports, failure to extend a promised credit line, breach of fiduciary duty, misrepresentation and omission of material facts, breach of contract, constructive fraud, failure to supervise, violation of state and federal securities laws and FINRA rules, and promissory estoppel.\u201d <\/em>\u00a0The claim was settled for $14,000,000 by the firm. Souma denies the allegations by the claimant, and did not contribute to the settlement amount. <a href=\"https:\/\/www.silverlaw.com\/blog\/antoine-souma\/#more-8679\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Antoine Nabih Souma (CRD: 4210987) is a registered broker and investment advisor currently employed with Morgan Stanley (CRD#:149777) of Los Angeles, CA. His previous employers include J.P. Morgan Securities LLC (CRD#:79) and Deutsche Bank Securities Inc. (CRD#:2525), also of Los Angeles, and UBS Financial Services Inc. (CRD#:8174), of Beverly Hills, CA. A customer filed a [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588,580],"tags":[],"class_list":["post-8679","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Broker Antoine Souma Settles $14M Customer Dispute<\/title>\n<meta name=\"description\" content=\"Antoine Souma is a registered broker and investment advisor currently employed with Morgan Stanley (CRD#:149777) of Los Angeles, CA.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/antoine-souma\/\" \/>\n<meta name=\"twitter:card\" 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