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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 statesThomas diamanteChristopherj kellyDepartment of enforcementFirm made misrepresentations to customersMade misrepresentationsViolated regSenior vice presidentActing headDisclosure obligationRegulation best interestGuard against excessive tradingBrokerage account