Raymond William Clark Barred from Securities Industry by FINRA After Investigation

2026-08-05T11:58:49-05:00August 19th, 2023|Securities Law, Churning, FINRA - Broker Actions, Fraud|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA), indicate that broker/advisor, Raymond William Clark (CRD # 2865619) was recently barred from the securities [...]

Thomas Diamante Suspended from Securities Industry by FINRA After Investigation of Private Placement Offerings

2026-08-05T11:58:59-05:00June 12th, 2023|Securities Law, FINRA - Broker Actions, Fraud, Fraud in Underwriting, Private Placements|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Thomas Diamante (CRD # 1645257) was recently suspended from the securities industry [...]

Edward Scott Short Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

2026-08-05T11:59:17-05:00April 17th, 2023|Churning, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Edward Scott Short (CRD # 2462752) was recently suspended from the securities [...]

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