Melissa Marie Dixon (CRD #5193232) Has a Customer Dispute Disclosure on FINRA BrokerCheck

Melissa Marie Dixon (CRD #5193232) is a broker with a customer dispute on FINRA BrokerCheck. We reviewed her BrokerCheck report on April 11, 2026. It reflects one customer dispute. If you invested with Melissa Dixon and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Melissa Dixon’s FINRA BrokerCheck Report reflects one customer dispute disclosure. A summary of the dispute is below:

On February 23, 2026, a customer alleged Melissa Dixon failed to disclose that an asset liquidation would trigger a taxable event. The customer sought $591,000 in damages. Melissa Dixon’s FINRA BrokerCheck report lists the product as a mutual fund. The matter is pending.

Rule Summary #1: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 requires a broker to have a reasonable basis for a recommendation. It also requires the recommendation to fit the customer’s profile, including tax status, liquidity needs, and risk tolerance.

Rule Summary #2: FINRA Rule 2210 (Communications with the Public)

FINRA Rule 2210 requires communications to be fair and balanced. It also addresses tax-related statements and bars misleading claims, which can matter when an investor says tax consequences were not clearly explained.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

1. Reg BI has four key obligations:

2. Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

3. Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

4. Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Background Information (from BrokerCheck)

Based on Her FINRA BrokerCheck report, Melissa Dixon:

Is currently registered with Cambridge Investment Research Advisors, Inc. and Cambridge Investment Research, Inc.

Has passed the Securities Industry Essentials (SIE) exam. Melissa Dixon has also passed Series 7 and Series 66.

Was previously registered with firms that include LPL Financial LLC and Securities America, Inc.

Kurta Law Can Help

If you have worked with Melissa Dixon and you have concerns about her activity, Kurta Law may be able to help you evaluate your legal options. A securities attorney can review potential claims and explain possible next steps. Contact Kurta Law at 877-600-0098 or email info@kurtalawfirm.com for a free consultation.

Helpful resources: Securities Attorney | Unsuitable Investments

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.