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
Disclosure History
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 PURSUANT TO THE ORDER OF THE DEPARTMENT, DUBEE'S UNRESTRICTED LICENSE WAS REVOKED, AND HE WAS ISSUED A RESTRICTED LICENSE WHICH REQUIRES HIM TO OBEY ALL LAWS AND PROVIDE WRITTEN NOTIFICATION OF ANY FELONY CRIMINAL CHARGE, CONVICTION, OR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.
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
To view the full report for IAN ALEX DUBEE, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.