Tag Archives: William Herman Dixon

Securities America Stockbroker Barred In Investigation

May 31, 2021  |   Posted by :   |   Investment and Regulatory News   |   Comments Off on Securities America Stockbroker Barred In Investigation

William Herman Dixon (also known as Bill Dixon) of Charlotte North Carolina a stockbroker formerly registered with Securities America Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he obstructed FINRA’s investigation into his potential use of fake customer signatures. Letter of Acceptance […]

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Securities America Stockbroker Discharged For Forgery

November 24, 2019  |   Posted by :   |   Forgery, Investment and Regulatory News   |   0 Comments

William Herman Dixon of Charlotte North Carolina a stockbroker registered with Securities America Inc. has been discharged on September 16, 2019 supported by allegations of Dixon causing customer signatures to be forged on documents to effect transactions for customer accounts in violation of the procedures or policies enforced by the securities broker dealer. Financial Industry […]

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