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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 […]

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KC Ward Financial Stockbroker Charged With Fraud

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