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Charles Dixon involved in Investor Dispute

Charles Dixon (CRD #: 2707442), a broker and investment advisor registered with Sagepoint Financial, is involved in an investor dispute, according to his BrokerCheck record, accessed on March 2, 2022. 

Investor Allegations

On November 18, 2021, an investor filed a dispute against Charles Dixon, alleging a breach of fiduciary duty and negligence with regard to the sale of alternative investments. The damage amount requested is $99,999一the case is still pending.

If you suffered investment losses as a result of your financial advisor breaching a fiduciary duty, you could recover your losses in FINRA arbitration. Understanding what constitutes a breach of fiduciary duty comes with many years of handling these kinds of cases. Kurta Law is a nationally recognized securities law firm with over 25 years of experience litigating securities fraud cases.

On March 12, 2020, an investor alleged that Charles Dixon recommended high-risk, non-traded REITs and alternative investments. Non-traded REITs are exceptionally risky and do not fit most investors’ needs. The dispute is pending. 

Background Information

Charles Dixon has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 2 – Non-Member General Securities Examination
  • Series 24 – General Securities Principal Examination

He is a registered broker and investment advisor in Louisiana and Texas. 

Besides Sagepoint Financial, Charles Dixon has also worked with the following firms:

  • Dixon & Company (CRD#:132025)
  • SunAmerica Securities (CRD#:20068)
  • Linsco/Private Ledger Corp. (CRD#:6413)
  • First Financial United Investments Ltd (CRD#:41528)

Kurta Law Can Help

If you worked with Charles Dixon and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.