JAMES DIMITRIOU

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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