{"id":2624,"date":"2017-01-12T00:00:00","date_gmt":"2017-01-12T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/k-c-ward-financial-broker-craig-david-dima-investigation-finra\/"},"modified":"2018-10-08T12:37:50","modified_gmt":"2018-10-08T16:37:50","slug":"k-c-ward-financial-broker-craig-david-dima-investigation-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/k-c-ward-financial-broker-craig-david-dima-investigation-finra\/","title":{"rendered":"K.C. Ward Financial Broker Craig David Dima Under Investigation by FINRA"},"content":{"rendered":"<\/p>\n

\"K.C.<\/p>\n

Regulatory action is pending against New York financial advisor for unauthorized trading, misrepresentation and omissions, among other allegations<\/h2>\n

In August 2016, the Financial Industry Regulatory Authority (FINRA) initiated an investigation into allegations against Craig David Dima made by one of his long-standing customers. The complaint<\/span><\/a> alleges that Dima made approximately 41 unauthorized sales of a company\u2019s stock in the account of a senior customer. It also alleges that to conceal this unauthorized trading, Dima made fraudulent misrepresentations and omissions to the customer. In fact, it is alleged that Dima falsely told the customer that the sales were the result of computer issues, human error, or statements to that effect, rather than his unauthorized trades.<\/p>\n

The customer, a 72-year old retired employee of Colgate-Palmolive Company (Colgate), worked 28 years for the company and accumulated the stocks throughout her career.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Regulatory action is pending against New York financial advisor for unauthorized trading, misrepresentation and omissions, among other allegations In August 2016, the Financial Industry Regulatory Authority (FINRA) initiated an investigation into allegations against Craig David Dima made by one of his long-standing customers. The complaint alleges that Dima made approximately 41 unauthorized sales of a […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588],"tags":[269,9],"class_list":["post-2624","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","tag-financial-broker","tag-finra"],"yoast_head":"\nK.C. Ward Financial Broker Craig David Dima Under Investigation by FINRA — Securities Arbitration Lawyers Blog — January 12, 2017<\/title>\n<meta name=\"description\" content=\"Check out the new article K.C. Ward Financial Broker Craig David Dima Under Investigation by FINRA on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/k-c-ward-financial-broker-craig-david-dima-investigation-finra\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"K.C. Ward Financial Broker Craig David Dima Under Investigation by FINRA — Securities Arbitration Lawyers Blog — January 12, 2017\" \/>\n<meta name=\"twitter:description\" content=\"Check out the new article K.C. 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