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2024081608301 Ana Maria Dimco CRD 6264698 OHO Decision jr (2025-1764289201926).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS
DEPARTMENT OF ENFORCEMENT,
Complainant,
v.
ANA MARIA DIMCO
(CRD No. 6264698),
Respondent.
Disciplinary Proceeding
No. 2024081608301
Hearing Officer–MPD
DEFAULT DECISION
October 9, 2025
Respondent is barred from associating with any FINRA member firm in any capacity for improperly using the funds of her member firm employer, in violation of FINRA Rule 2010.
2023079071301 Independent Financial Group, LLC CRD 7717 AWC lp (2025-1764202812206).pdf
From April to November 2022, IFG permitted a registered representative to continue
associating with the firm during the period of his suspension when he was statutorily
disqualified. Accordingly, IFG violated Article III, Section 3(b) ofFINRA's By-Laws
and FINRA Rules 8311 and 2010. For these violations, IFG is censured and fined
$100,000.
2022076239801 Avenue Securities LLC CRD 292589 AWC lp (2025-1764202804843).pdf
Between April 2022 and October 2024, Avenue Securities LLC provided customers
approximately 21,000 confirmations for fixed-income transactions with inaccurate markup/
mark-down information. As a result, Avenue violated Section 17(a) of the Securities
Exchange Act of 1934, Exchange Act Rule 17a-3(a)(8), and FINRA Rules 2232, 4511,
and 2010.
From April 2022 to July 2025, Avenue also failed to establish and maintain a supervisory
system, including written procedures, reasonably designed to achieve compliance with
confirmation requirements.