WILLIAM HERMAN DIXON

WILLIAM HERMAN DIXON is currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA, INC. located at 1052 BON AIR DR, URBANA, OH, 43078.

WILLIAM HERMAN DIXON has worked at SECURITIES AMERICA, INC. since September 23, 2016

Disclosure History

WILLIAM HERMAN DIXON has 2 Disclosure Event(s).

Date: September 08, 2016
Category: Customer Dispute
Allegations: Suitability
Damage Amount Requested: $8,422.49
Broker Comment: This complaint was originally sent to Prudential, Prudential sent Wall Street an Inquiry on September 8, 2016, Wall Street responded to Prudential on September 13, 2016. Prudential responded to the client on 09/28/2016, denying the claims.

Date: September 30, 2008
Category: Customer Dispute
Allegations: CLIENT ALLEGES UNAWARE OF SALES CHARGES RELATED TO TRANSACTIONS.
Broker Comment: AFTER REVIEW OF DOCUMENTS, FOUND INSUFFICIENT EVIDENCE TO SUPPORT COMPLAINT.

More Information

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.

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