Archive

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

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 […]

Disclaimer

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer. Questions or comments regarding the source or accuracy of information, including any subsequent developments, should be directed to: [email protected].

Archive

KC Ward Financial Stockbroker Charged With Fraud

For a Free Evaluation of Your Claim

Call Us Toll Free At:

(877) SEC-ATTY

All Inquires Are Confidential.

See Important Disclaimer

Categories