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FINRA Expels SW Financial, Suspends Owner and CEO
FINRA Expels SW Financial, Suspends Owner and CEO
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United states
Thomas diamante
Christopherj kelly
Department of enforcement
Firm made misrepresentations to customers
Made misrepresentations
Violated reg
Senior vice president
Acting head
Disclosure obligation
Regulation best interest
Guard against excessive trading
Brokerage account
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