August 2016- Ronkonkoma, NY
The FINRA records of Craig D. Dima , a stock broker who is currently employed by K. C. Ward Financial disclose 2 prior regulatory events, a currently pending customer dispute, 4 prior customer disputes, a currently pending regulatory investigation, 2 terminations from employment and a currently outstanding judgement/lien.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In May 2016, Dima disclosed that he had received notice from FINRA that he is the subject of investigation #20150464407.
In currently pending FINRA Case#14-02955 , a customer of K.C. Ward Financial alleges damages of $100,000 for account losses from 2012-May 2014. The customer claims Dima pursued investment strategies that were not in line with the customer’s needs.
Dima discloses a currently outstanding lien in favor of the Internal Revenue Service in the amount of $57,264.
Dima has been employed by K.C. Ward Financial since 9/2009. Prior to that he was employed by American Capital Partners from 11/2008-10/2009.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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