JAMES THEOCHARIS DIMOS

JAMES THEOCHARIS DIMOS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 43 CONSTITUTION DRIVE, BEDFORD, NH, 03110.

JAMES THEOCHARIS DIMOS has worked at LPL FINANCIAL LLC since October 06, 2017

Disclosure History

JAMES THEOCHARIS DIMOS has 1 Disclosure Event(s).

Date: February 28, 2013
Category: Customer Dispute
Allegations: CUSTOMER ALLEGED THE REPRESENTATIVE MISREPRESENTED THE VARIABLE ANNUITY PURCHASED IN APRIL 2011. NO SPECIFIC COMPENSATORY DAMAGES WERE ALLEGED.

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All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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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