Craig David Dima

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/28/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DISCIPLINARY PROCEEDING Department of Enforcement, Complainant, v. Craig David Dima (CRD No. 2314389), Respondent. No. 2015046440701 Hearing Officer - DW ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 28, 2017 INTRODUCTION Disciplinary Proceeding No. 2015046440701 was filed on August 18, 2016, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Craig David Dima submitted an
08/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Craig David Dima (CRD No. 2314389), Respondent. DlSC1PL1NARY PROCEEDING No. 2015046440701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or about June 2010 through in or about August 2015 (the "Relevant Period"), while registered through FINRA member firm K.C. Ward Financial, Respondent Craig David Dima made approximately 41 unauthorized sales of Colgate-Palmolive
Reference 2015046440701data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2314389

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