June 20, 2023
SW Financial entered into a FINRA Acceptance, Waiver, and Consent. SW Financial allegedly made material misrepresentations and omissions to customers in connection with the sale of private placement offerings of pre-initial public offering funds. SW Financial also failed to establish, maintain, and enforce a supervisory system, failed to reasonably supervise, and more. SW Financial consented, without admitting or denying the claims, to an expulsion from FINRA membership.
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