JAMES DIMITRIOU is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 461 FROM RD, 3RD FL, STE 385, PARAMUS, NJ, 07652-3524.
JAMES DIMITRIOU has worked at LPL FINANCIAL LLC since September 23, 2011
Disclosure History
JAMES DIMITRIOU has 14 Disclosure Event(s).
Date: December 28, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: December 19, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: December 09, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: November 18, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: November 11, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: November 03, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: November 02, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: October 20, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: October 17, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: October 13, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: October 11, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: October 06, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: April 27, 2011 Category: Financial Type: Compromise Disposition: SETTLED
Date: August 01, 2010 Category: Financial Type: Compromise Disposition: SETTLED
More Information
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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