DAVID JOSEPH JAMES is currently employed as a Broker and/or Investment Adviser at CITIZENS SECURITIES, INC. located at 42 NASHUA ROAD, RTE 102, MAILSTOP: NH462, LONDONDERRY, NH, 03053.
DAVID JOSEPH JAMES has worked at CITIZENS SECURITIES, INC. since May 22, 2015
Disclosure History
DAVID JOSEPH JAMES has 2 Disclosure Event(s).
Date: December 05, 2012 Category: Customer Dispute Allegations: BASED ON THE FORM U5 AMENDMENT FILED BY THE REPRESENTATIVE'S PREDECESSOR BROKER DEALER "CUSTOMER ALLEGES THAT HE/SHE WAS NOT INFORMED THAT IF SHE/HE TRANSFERRED THEIR ASSETS FROM THEIR ANNUITY, THEY WOULD LOSE THE DEATH BENEFIT OF THE ANNUITY". Damage Amount Requested: $5,079.85 Damages Granted: $50.00 Broker Comment: THE FIRM SETTLED WITH THE CUSTOMER.
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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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