Government Shutdown Information

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.

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