Tag Archives: K.C. Ward Financial

K.C. Ward Stockbroker Barred For Failure To Cooperate in Regulatory Investigation

Carlos Nestor Evertsz-Seda of Ronkonkoma New York a stockbroker formerly registered with K.C. Ward Financial has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that Evertsz-Seda disregarded a FINRA inquiry possibly concerning Evertsz-Seda being subject of customer initiated investment related disputes. Case No. 2016052401401 (Mar. […]

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KC Ward Financial Sued By Customer For Suitability

September 15, 2017  |   Posted by :   |   Unsuitable Investment Recommendations   |   0 Comments

Carlos Nestor Evertsz-Seda, of Ronkonkoma, New York, a stockbroker formerly registered with K.C. Ward Financial, is the subject of a customer initiated investment related arbitration claim on January 6, 2017, in which the customer requested $100,000.00 in damages based on allegations that Evertsz-Seda caused the customer’s market losses through effecting transactions that were not suitable. […]

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KC Ward Financial Named In Customer Fraud Action

William Nicholas Athas, of Ronkonkoma, New York, a stockbroker formerly registered with K.C. Ward Financial, has been named in a customer initiated investment related arbitration claim on February 16, 2017, in which the customer requested $290,000.00 in damages based upon allegations including: the use of fraudulent or manipulative contrivances or devices; breach of duty of […]

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KC Ward Financial Stockbroker Barred For Fraud

Craig David Dima, of Ronkonkoma, New York, a stockbroker formerly registered with K.C. Ward Financial, has been fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon an Office of Hearing Officers’ Order Accepting Offer of Settlement containing findings that Dima effected unauthorized trades in a customer’s […]

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KC Ward Financial Stockbroker Named in Excessive Trading Claim

September 16, 2016  |   Posted by :   |   Excessive Trading, Investment and Regulatory News   |   0 Comments

Joseph F. Comiskey, Jr., of Ronkonkoma, New York, a stockbroker with K.C. Ward Financial, became subject to a pending customer dispute on July 20, 2016, in which the customer requested $450,000.00 in damages after alleging that Comiskey engaged in the speculative trading in the customer’s account. Public disclosure records also reveal that Joseph Comiskey, Jr. […]

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KC Ward Financial Stockbroker Charged With Fraud

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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