Last Updated: November 2023 (Boca Raton, FL)
Dimitrios “Jim” Aivaliotis Investigation Summary
Here’s what you need to know about Boca Raton, FL, stockbroker Dimitrios Aivaliotis:
- Name: Mr. Dimitrios Aivaliotis
- Current Employer: I-Bankers Direct, LLC
- Previous Firms: Pinnacle Investments, Salomon Whitney Financial, Newbridge Securities, Avenir Financial Group
- Function: Stock Broker/ Financial Advisor
- Aliases: Jim Aivaliotis
- Primary Location: Boca Raton, FL
- CRD 3174376
- Can Jim Aivaliotis be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award: $27,500
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Dimitrios “Jim” Aivaliotis As Your Stockbroker?
In 2019 a customer of SW Financial was paid $14,999 to settle a FINRA arbitration alleging that Jim Aivaliotis made unsuitable recommendations, traded without authority and was negligent.
A customer of Newbridge Securities was paid $27,500 in 2017 to settle a FINRA arbitration alleging that Jim Aivaliotis committed common law fraud, overconcentrated their account and violated The California Securities Act.
Investigations involving Over-Concentration
Allegations of Broker Misconduct Against Dimitrios Aivaliotis
Customers of Jim Aivaliotis the firms he worked for have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations
- Overconcentrated account
- Unauthorized Trading
- Violated California Securities Act
- Newbridge Securities Was Negligent in its Supervision of Aivaliotis
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
Firms Have a Duty to Supervise their Financial Advisors
If you have suffered investment losses in an account handled by Dimitrios “Jim” Aivaliotis, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.