Leon Dixon – Leon Edward Dixon, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Leon Dixon, CRD# 723675
Leon Dixon was a previously licensed financial advisor/broker with AXA Advisors, LLC in Miami, Florida. FINRA reports that Leon Dixon was suspended for five months in April 2017.
According to FINRA: Leon Dixon consented to the sanctions and to the entry of findings that he participated in private securities transactions without notifying his member firm. The findings stated that Leon Dixon invested approximately $18,000 in a private start-up company that purports to offer broadband and telecommunications services. Leon Dixon solicited firm clients to invest in the company and facilitated those investments, including by assisting the clients with sending payment checks to the company. In total, the clients invested approximately $181,500 in the company and Leon Dixon received approximately $15,000 from the company in connection with his participation in the private securities transaction. In addition, in annual compliance questionnaires for 2014, 2015, and 2016, Leon Dixon inaccurately indicated that he had not participated in any private securities transaction. The findings also stated that Leon Dixon failed to timely disclose a civil judgment on his Form U4 and failed to disclose an unsatisfied tax lien on his Form U4. Leon Dixon also willfully failed to disclose an unsatisfied tax lien on his Form U4.
According to Leon Dixon’s CRD, Leon Dixon was discharged from AXA Advisors, LLC in September 2016. According to Leon Dixon’s CRD, Leon Dixon allegedly sold securities outside the scope of Leon Dixon’s registration with AXA Advisors, LLC, without AXA Advisors, LLC’s knowledge or approval.
If you lost any money on investments with Leon Dixon, you may be able to recover your losses. If you lost money on investments with Leon Dixon and believe that 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 concerning Leon 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.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Leon 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.
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