Ana Maria Dimco Subject of FINRA Complaint

Ana Maria Dimco (CRD #: 6264698), a broker formerly registered with Columbia Management Investment Distributors, is the subject of a pending FINRA complaint, according to her BrokerCheck record, accessed on March 25, 2025. Read on if you have questions about her alleged conduct as a broker.

FINRA Complaint

On February 18, 2025, Ana Maria Dimco was named in a FINRA complaint alleging that she improperly used firm funds for non-business purposes.

In the complaint, FINRA alleged that Ana Maria Dimco charged $20,157.92 in personal expenditures to her firm-issued American Express card while on an approved medical leave from Columbia Management Investment Distributors.

These charges allegedly included medical and beauty treatments, travel expenses, clothing purchases, and other personal expenses. Ana Maria Dimco allegedly never repaid the firm for these expenses.

Further, Ana Maria Dimco allegedly failed to provide FINRA with information and documents requested as part of an investigation into whether she had improperly used firm funds and possibly failed to disclose an outside business activity.

The complaint alleges that Ana Maria Dimco violated FINRA Rules 8210 and 2010. This complaint is currently pending.

FINRA Rule 8210

FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Resignation from Columbia Management Investment Distributors

On February 16, 2024, Ana Maria Dimco resigned from Columbia Management Investment Distributors while allegedly under investigation for possible violation of the firm’s corporate travel and expense policy with regard to misuse of a corporate credit card.

Background Information

Ana Maria Dimco has passed the following exams:

• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Uniform Combined State Law Examination – Series 66
• Uniform Securities Agent State Law Examination – Series 63

She previously worked for the following firms:

• Columbia Management Investment Distributors (CRD#:840)
• Charles Schwab & Company (CRD#:5393)
• Fidelity Brokerage Services (CRD#:7784)

Kurta Law Can Help

If you worked with Ana Maria Dimco and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.