supervision | 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

Kevin J. Deloatch, Esq.2023-06-12T17:23:57-05:00June 12th, 2023|FINRA - Broker Actions, Fraud, Fraud in Underwriting, Private Placements, Securities Law|

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 [...]

Torch Securities, LLC Sanctioned by FINRA Regarding Due Diligence and Supervision Failures

Kevin J. Deloatch, Esq.2022-06-22T13:34:38-05:00June 22nd, 2022|Markets and Products, Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Torch Securities, LLC (CRD # 133642) was recently sanctioned by FINRA’s Department [...]

Dennis James Murphy Barred from the Securities Industry by FINRA after Investigation

Kevin J. Deloatch, Esq.2020-05-20T12:16:48-05:00May 20th, 2020|FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Dennis James Murphy (CRD # 4840274) was recently barred from the securities [...]