According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Leon Dixon allegedly participated in private securities transactions without notifying his firm. This is against securities rules and regulations. From April 2014 through October 2015, Dixon invested $18,000 in a private start-up company that offers broadband and telecommunications services. He also solicited 15 of AXA’s clients to invest in the company. In total, he invested $181,500 of client money into the company. For this, he was fined $7,500 and suspended for five months.
According to his FINRA BrokerCheck report, Mr. Dixon was registered with The Equitable Life Assurance Society of the United States in New York, New York from February 1981 until January 2000 and AXA Advisors in Miami, Florida from April 1987 until September 2016. He has one customer dispute against him and is currently not registered within the industry. If you suffered losses with Mr. Dixon, please call our securities law firm today at 312-332-4200 to speak to an attorney about your losses. The call is free with no obligation. We take cases on a contingency fee basis only.
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