Chuck Dixon – Charles Albert Dixon Jr., Barred from Securities Industry and Discharged from Morgan Stanley – Goodman & Nekvasil P.A., May Recover Investor Losses
Chuck Dixon was licensed with Morgan Stanley from 2009 to 2017. Chuck Dixon was discharged from Morgan Stanley on March 21, 2017. Morgan Stanley reported to FINRA that there were allegations regarding Chuck Dixon’s conduct with regards to the use of discretionary trading without written authorization and conduct related to a customer complaint.
Chuck Dixon was barred from the securities and investment banking industry on January 22, 2018. FINRA reports that Chuck Dixon consented to the sanction and to the entry of findings that Chuck Dixon refused to appear for FINRA-requested on-the-record testimony in connection with its investigation of potential use of discretion without prior written authorization.
If you lost any money on investments with Chuck Dixon, you may be able to recover your losses from Morgan Stanley. This is because Morgan Stanley had a duty to supervise Chuck Dixon.
If you lost money on investments with Chuck Dixon and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Morgan Stanley concerning Chuck Dixon’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Chuck Dixon and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.