Craig D. Dima, of Ronkonkoma, New York, a stockbroker registered with K.C. Ward Financial, was charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Dima made unauthorized trades in a customer’s account and fraudulent representations in connection with such. Department of Enforcement v. Craig David Dima, No. 2015046440701 (Aug. 18, 2016). According […]
Read More »
Tag Archives: Craig D. Dima
KC Ward Financial Stockbroker Charged With Fraud
September 09, 2016 | Posted by : Guiliano Law Group | Boilerroom Sales, FINRA Securities Arbitration, Investment and Regulatory News | 0 Comments