Thomas Diamante (CRD#1645257) and SW FINANCIAL

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Thomas Diamante (CRD#1645257) regarding allegations made regarding the following:

Claim(s) Made Against Thomas Diamante:

Claim Date: 6/22/2023

“Diamante was named in a customer complaint that asserted the following causes of action: negligence, unsuitability, fraudulent misrepresentations and omissions, securities fraud, common law fraud, breach of fiduciary duty, and breach of contract.”

This claim, as of this posting, is currently Pending with a claim amount of $100,000.00 .

Claim Date: 5/15/2023

“Thomas Diamante was named in a customer complaint that asserted the following causes of action: negligence, breach of fiduciary duty, negligent supervision.”

This claim, as of this posting, is currently Pending with a claim amount of $135,000.00 .

Claim Date: 10/31/2022

“Diamante was named in a customer complaint that asserted the following causes of action: suitability; churning; failure to supervise; breach of fiduciary duty; breach of contract; negligence; misrepresentation; and omission of facts.”

This claim is currently Pending with a claim amount of $510,152.82 .

See more information on FINRA’s BrokerCheck site for Thomas Diamante.

Have an issue with Thomas Diamante?

If you were a customer of Thomas Diamante and SW FINANCIAL from MELVILLE, NY and had a similar issue or experience, we are interested in discussing a potential claim with you. Brokerage firms have a responsibility to supervise all representatives who are registered through their firm. (See our video “Warning signs of a bad financial advisor”). Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. The brokerage firm is not only legally responsible for the acts of its agents, like Thomas Diamante, the broker dealer may also be liable for investment losses sustained by customers for a failure to supervise. The Securities Lawyers at Halling & Cayo, S.C. have recovered millions of dollars for investors across the country.

The Securities Lawyers have recovered millions of dollars for investors across the United States and are currently investigating the possibility of representing individual or group investors who have suffered losses. If you were a customer of Thomas Diamante and SW FINANCIAL and suffered investment losses, please contact the Securities Lawyers. We will only receive payment if we are able to recover your money, and you may be eligible for financial compensation. It’s important to note that there may be time limits or statutes of limitations that apply to your claim, so it’s crucial to speak with an attorney as soon as possible.


Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.