Tag Archives: Charles Albert Dixon

FINRA Bars Morgan Stanley Broker For Obstruction

January 26, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Charles Albert Dixon, Junior, of Houston, Texas, a stockbroker formerly employed with Morgan Stanley Smith Barney, LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate with FINRA in an investigation into Dixon’s alleged unauthorized trading in customer […]

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