{"id":29316,"date":"2023-06-01T23:41:16","date_gmt":"2023-06-02T04:41:16","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=29316"},"modified":"2023-06-01T23:41:16","modified_gmt":"2023-06-02T04:41:16","slug":"brokerage-firm-arbitration-lawyers","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/brokerage-firm-arbitration-lawyers\/","title":{"rendered":"Brokerage Firm Arbitration Lawyers"},"content":{"rendered":"

When A Brokerage Firm Violates Investors\u2019 Best Interests Through Alleged Misconduct <\/strong><\/p>\n

FINRA Expels SW Financial For Allegedly Making Misrepresentations and Omissions <\/strong><\/p>\n

The Financial Industry Regulatory Authority (FINRA) has expelled SW Financial<\/a> following multiple alleged violations related to Regulation Best Interest (Reg BI).<\/a> The self-regulatory organization (SRO) contends that between January 2018 and December 2021, the broker-dealer and its co-owner Thomas Diamante made purported misrepresentations and omissions related to the sale of private placement offerings of pre-IPO securities and also allegedly engaged in churning and committed supervisory failures. This excessive trading allegedly impacted multiple customer accounts, resulting in costs of over $350K and losses greater than $465K.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

When A Brokerage Firm Violates Investors\u2019 Best Interests Through Alleged Misconduct FINRA Expels SW Financial For Allegedly Making Misrepresentations and Omissions The Financial Industry Regulatory Authority (FINRA) has expelled SW Financial following multiple alleged violations related to Regulation Best Interest (Reg BI). The self-regulatory organization (SRO) contends that between January 2018 and December 2021, the […]<\/p>\n","protected":false},"author":2,"featured_media":29335,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3798,3773,3762,4055,4761,4801,4760],"tags":[4887],"class_list":["post-29316","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-arbitration","category-broker-fraud","category-current-investigations","category-featured-investigation","category-finra-arbitration","category-finra-attorneys","category-finra-lawyer","tag-brokerage-firm-arbitration-lawyers"],"yoast_head":"\nBrokerage Firm Arbitration Lawyers<\/title>\n<meta name=\"description\" content=\"Brokerage Firm Arbitration Lawyers\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link 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