FINRA Investigates Thomas Diamante with SW Financial
MELVILLE, NEW YORK
Our securities arbitration law firm is looking into allegations made against Thomas Diamante, a financial advisor in Melville, New York. FINRA began investigating Diamante regarding allegations that he violated FINRA Rule 2010 and Sections 17(a)(2) and 17(a)(3) of the Securities and Exchange Act of 1933. According to FINRA’s BrokerCheck, Diamante was alleged to have “obtained money in the offer or sale of securities by omissions and misrepresentations of material facts and engaged in a transaction, practice, or course of business which operated as a fraud or deceit upon the purchasers”. FINRA also alleges that Diamante failed to enforce a reasonable supervisory system for the sale of private placement offerings.
Since January 2008, Thomas Diamante has been affiliated with SW Financial in Melville, New York. SW Financial was previously known as Salomon Whitney. Diamante is also the CEO of SW Financial.
Our law firm represents investors who have been aggrieved by their stockbrokers, financial advisors, and brokerage firms. We represent investors in all fifty states, and most of our cases are taken on a contingency fee basis.
Click to view: Diamante, Thomas BrokerCheck 2.23.22