DENNIS CROWDER DIXON

DENNIS CROWDER DIXON is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 9300 SHELBYVILLE RD., SUITE 1310, LOUISVILLE, KY, 40222.

DENNIS CROWDER DIXON has worked at LPL FINANCIAL LLC since July 16, 2012

Disclosure History

DENNIS CROWDER DIXON has 1 Disclosure Event(s).

Date: June 29, 2009
Category: Customer Dispute
Allegations: PRO SE CLAIMANT ALLEGES THAT IN 2008 FINANCIAL ADVISOR FAILED TO INSTITUTE STOP-LOSS ORDERS.
Damage Amount Requested: $35,402.14
Settlement Amount: $1,956.10
Broker Comment: AMENDED ONLY ALLEGED COMPENSATORY DAMAGE AMOUNT.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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