IAN ALEX DUBEE is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1931 HIGH HOUSE RD, CARY, NC, 27519.
IAN ALEX DUBEE has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since August 31, 2015
IAN ALEX DUBEE has 2 Disclosure Event(s).
Date: November 13, 2012 Category: Regulatory Initiated By: STATE OF CALIFORNIA DEPARTMENT OF INSURANCE Allegations: THE STATE OF CALIFORNIA DEPARTMENT OF INSURANCE(THE "DEPARTMENT") ALLEGES THAT IAN DUBEE ("DUBEE") FAILED TO TIMELY DISCLOSE A 2010 MISDEMEANOR CONVICTION IN VIOLATION OF CALIFORNIA INSURANCE CODE SECTION 1729.2(A) AND 1729.2(D). THE DEPARTMENT FURTHER ALLEGES THAT THERE IS A SUFFICIENT BASIS TO REVOKE OR SUSPEND DUBEE'S LICENSE AND LICENSING RIGHTS WITH THE DEPARTMENT UNDER CALIFORNIA INSURANCE CODE SECTIONS 1668(B), 1668(E), AND 1738. ALLEGATION ACTIVITY PERIOD FROM 12/3/2010 TO 3/24/2011. Resolution: Order SanctionDetails: Sanctions: Revocation Broker Comment: ON AUGUST 26, 2013, THE STATE OF CALIFORNIA DEPARTMENT OF INSURANCE (THE "DEPARTMENT") ORDERED THAT DUBEE'S UNRESTRICTED LICENSE TO ACT AS A LIFE-ONLY AND ACCIDENT AND HEALTH AGENT WITH VARIABLE AUTHORITY BE REVOKED. THE REVOCATION IS STAYED FOR A PERIOD OF FOUR YEARS AND A RESTRICTED LICENSCE TO ACT AS A LIFE ONLY AND ACCIDENT AND HEALTH AGENT WITH VARIABLE AUTHORITY HAS BEEN ISSUED TO DUBEE BY DECISION AND ORDER ADOPTING PROPOSED DECISION (FILE NO. LBB 7797-AP). PURSUANT TO THE ORDER OF THE DEPARTMENT, DUBEE'S UNRESTRICTED LICENSE WAS REVOKED, AND HE WAS ISSUED A RESTRICTED LICENSE WHICH REQUIRES HIM TO OBEY ALL LAWS AND PROVIDE WRITTEN NOTIFICATION OF ANY FELONY CRIMINAL CHARGE, CONVICTION, OR DISCIPLINARY INVESTIGATION, BUT DOES NOT IN ANY WAY IMPACT HIS ABILITY TO ENGAGE IN THE BUSINESS OF SELLING INSURANCE.
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