Fraud in Underwriting | New York Criminal & Securities Attorney

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

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

By Kevin J. Deloatch, Esq.|2023-06-12T17:23:57-05:00June 12th, 2023|Tags: 17(a)(2), Atlas Capital Services, AWC, customer complaint, Department of Enforcement, Empire Financial Group, fine, FINRA, FINRA Rule 2010, FINRA Rule 3110, fraud, offerings, private placement, Reasonably supervise, sales practice, Securities Act of 1933, securities industry, supervision, suspended, SW Financial, Thomas Diamante|

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 [...]

Growth Capital Services, Inc. Sanctioned by FINRA Over Private Placement Offerings

By Kevin J. Deloatch, Esq.|2021-01-20T14:08:54-05:00January 20th, 2021|Tags: censure, censured, customer complaints, fine, fined, FINRA, Growth Capital Services, illiquid, private placement, private placement memorandum, risky investment, sanctioned, securities, speculative|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer/investment adviser, Growth Capital Services, Inc. (CRD # 124658) was recently sanctioned by [...]

Cabot Lodge Securities LLC Charged by FINRA with Multiple Securities Violations

By Kevin J. Deloatch, Esq.|2020-04-15T22:01:55-05:00April 15th, 2020|Tags: Cabot Lodge Securities, complaint disciplinary proceedings, FINRA, investigation, REITS, securities, unsuitable recommendation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that FINRA’s Department of Enforcement recently brought disciplinary proceedings against broker-dealer Cabot Lodge Securities [...]