Gallagher refused to provide documents and information and to appear for on-the-record testimony requested pursuant to FINRA Rule 8210, in violation of FINRA Rules 8210 and 2010.

The Department of Enforcement alleges: Between November 24, 2023, and February 7, 2024, Respondent Ana Maria Dimco (“Dimco”) improperly used firm funds to make purchases that were not related to any business of her employer firm, Columbia Management Investment Distributors Inc. Specifically, Dimco incurred a total of $20,157.92 in charges on the corporate American Express card issued to her to pay for personal expenditures such as clothing, travel, a laptop, medical and beauty treatments, and other personal expenses while on an approved medical leave from her firm.