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 Regulatory Authority (FINRA) Public Disclosure confirms that Dixon is referenced in two customer initiated investment related disputes containing accusations of his violative conduct while employed with Wall Street Financial Group Inc. Specifically, a customer filed an investment related complaint concerning Dixon’s activities in which the customer requested unspecified damages based upon allegations that the customer was not provided adequate information regarding the sales charges to be assessed on mutual fund and variable annuity transactions executed in the customer’s account.
Dixon is also referenced in a customer initiated investment related complaint where the customer sought more than $5,000.00 in damages founded on accusations that the customer had been placed into a variable annuity that was wholly unsuitable for the customer given the customer’s goals, liquidity needs, risk tolerance or overall circumstances.
Dixon was registered with Securities America Inc. between September 23, 2016 and October 8, 2019. Since October 7, 2019, Dixon has been employed by Southeast Investments N.C. Inc.
