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.

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.

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.

From at least September 2014 through at least July 2023, BofAS violated Exchange Act Rules 611(a)(1), (a)(2) and (c), and FINRA Rules 6380A(a)(5)(I) and (J), and 2010 by, among other things, failing to establish, maintain, and enforce written policies and procedures reasonably designed to prevent trade-throughs of protected quotations in NMS stocks resulting from system issues and assure that its intermarket sweep orders (ISOs) complied with Regulation NMS.