Former Morgan Stanley broker Charles “Chuck” Dixon Jr. barred indefinitely from industry for failure to comply with FINRA investigation

Charles “Chuck” Dixon (Charles Albert Dixon Jr) has consented to a sanction from FINRA (the Financial Industry Regulatory Authority). FINRA is a non-governmental regulator of securities firms that focuses on investor protection and market integrity through effective and efficient regulation of the securities industry. The attorneys of Fishman Haygood Investment Fraud Lawyers are currently investigating possible claims against stockbroker Charles “Chuck” Dixon.

In January 2018 Charles “Chuck” Dixon was barred indefinitely from practicing as a broker. Charles “Chuck” Dixon worked for Morgan Stanley in Houston, Texas from 2009 to 2017.

FINRA alleges that Charles “Chuck” Dixon engaged in the following misconduct: failure to comply with FINRA investigation into discretionary trading with customer consent .

Dixon was separated from his employment with Morgan Stanley in March 2017 after a customer complain that Dixon was using discretionary trading power in a non-discretionary account without written authorization from the customer. Dixon has refused to comply with the resulting FINRA investigation by failing to provide on-the-record testimony. Dixon has neither admitted nor denied FINRA’s findings and has been indefinitely barred from the industry.

Charles “Chuck” Dixon has been the subject of at least 2 customer disputes.

If you invested money through Charles “Chuck” Dixon, we would like to talk to you. Fishman Haygood Investment Fraud Lawyers are experienced securities litigators. We have helped hundreds of clients recover their losses that were due to broker fraud or negligence. Contact us today to discuss your options and receive a free consultation.

Fishman Haygood Investment Fraud Lawyers represents investors who have suffered investment losses in claims against their brokers or financial advisors. Our experienced attorneys have brought securities fraud cases in state and federal courts across the nation, as well as in FINRA arbitration. We work to help investors recoup their losses.

Of course, all cases are different. For that reason, we analyze each client’s matter individually and provide our personalized evaluation only after considering all of the facts and circumstances of all possible claims. If you or someone you know is the victim of securities fraud, please contact a Fishman Haygood Investment Fraud lawyer today.

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