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John Dixon Allegedly Made Misrepresentations to Client

John Dixon (CRD #: 4239339), a broker registered with Independent Financial Group, allegedly engaged in misrepresentation, according to his BrokerCheck record, accessed on January 31, 2023. Read on to learn more about his alleged conduct as a broker.

Investor Dispute

On November 8, 2022, an investor filed a dispute naming John Dixon in allegations of misrepresentation and violation of the suitability rule between March 21, 2008, and September 27, 2021. The client seeks $250,000 in damages in this pending dispute.

FINRA Rule 2020

FINRA Rule 2020 forbids the use of manipulative, deceptive, and otherwise unethical methods to influence investors’ decisions. Misrepresenting an investment’s potential returns, risks, or fees violates this rule.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to take into account investors’ financial goals when recommending investments. Brokers must consider the information in the investor’s profile, such as their age, tax status, and risk tolerance when recommending investments.

Investors who believe their losses are the result of unsuitable investment recommendations may be able to recover their funds through FINRA arbitration.

Background Information

John 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

John Dixon is a registered broker in six states and a registered investment adviser in Ohio.

He has also worked for the following firms:

  • LPL Financial (CRD#:6413)
  • Bancwest Investment Services (CRD#:29357)
  • Securities America Advisors (CRD#:110518)
  • Securities America (CRD#:10205)
  • NYLIFE Securities (CRD#:5167)
  • WM Financial Services (CRD#:599)
  • Waddell & Reed (CRD#:866)
  • Foresters Equity Services (CRD#:18464)
  • Fidelity Brokerage Services (CRD#:7784)

Kurta Law Can Help

If you worked with John Dixon and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want 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. 

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