2020065277801 William O’Neil Securities CRD 894 AWC gg (2023-1686532807534).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065277801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: William O’Neil Securities (Respondent)
Member Firm
CRD No. 894
Pursuant to FINRA Rule 9216, Respondent William O’Neil Securities submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2020065599101 SW Financial CRD 145012 awc vr (2023-1686532807528).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
No. 2020065599101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: SW Financial (Respondent)
Member Firm
CRD No. 145012
Pursuant to FINRA Rule 9216, Respondent SW Financial submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2020065599102 Thomas Diamante CRD 1645257 awc vr (2023-1686532812302).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065599102
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Thomas Diamante (Respondent)
Former General Securities Principal and Investment Banking Representative
CRD No. 1645257
Pursuant to FINRA Rule 9216, Respondent Thomas Diamante submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
FINRA Expels SW Financial, Suspends Owner and CEO
Firm Made Misrepresentations to Customers and Violated Reg BI as well as FINRA’s Suitability and Supervision Rules
WASHINGTON—FINRA announced today that it has expelled broker-dealer SW Financial for multiple violations, including making misrepresentations to customers in its sales of private placement offerings of pre-initial public offering (pre-IPO) securities, churning customer accounts, and failing to supervise its representatives.
22-00777.pdf
consolidated with 22-00341