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 [...]

National Securities Corporation Sanctioned by FINRA After Investigation Into Multiple Violations

2026-08-05T12:03:02-05:00June 26th, 2022|Securities Law, Conflicts of Interest, Fraud, Markets and Products, Misrepresentation, Private Placements|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, National Securities Corporation (CRD # 7569) was recently sanctioned by FINRA’s Department [...]

Adam Maggio Suspended from All Principal Capacities in Securities Industry by FINRA for Failure to Supervise

2026-08-05T12:04:59-05:00December 13th, 2021|Securities Law, Churning, FINRA - Broker Actions|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Adam Maggio (CRD # 4177365) was recently suspended from all principal capacities in [...]

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