Last Updated: October 2023 (Indianapolis, IN)
Jim Dickson Investigation Summary
Here’s what you need to know about Indianapolis, IN, stockbroker Jim Dickson:
- Name: Mr. James R. Dickson
- Current Employer: Not currently registered with FINRA
- Previous Firms: Sanctuary Securities, David A. Noyes & Co., Merrill Lynch Pierce Fenner & Smith
- Function: Stock Broker/ Financial Advisor
- Aliases: Jim Dickson
- Primary Location: Indianapolis, IN
- CRD 2978084
- Can Jim Dickson be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discharged by prior employer: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Jim Dickson As Your Stockbroker?
In 2/2023 Sanctuary Securities discharged Jim Dickson and allege on his FINRA record: “Mr. Dickson was terminated by the company’s board of managers after the board received information that evidenced that Mr. Dickson had not conducted himself in accordance with the requirements of his employment contract and his duties and obligations as CEO.”
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
If you have suffered investment losses in an account handled by Jim Dickson, 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.
