FINRA barred former Morgan Stanley broker Charles Albert Dixon after he refused to cooperate with an investigation into his termination from the firm based on allegations that he employed discretion without written authorization and for conduct related to a customer complaint.
Dixon's BrokerCheck report indicates that in 2016, a customer alleged Dixon engaged in unauthorized trading over a thee-year period; that dispute eventually settled for $225,000 in damages.
AWC #2017053935201
A 2006 dispute filed against Dixon while he was associated with a different division of Morgan Stanley similarly alleged churning, as well as unsuitable investments, and was settled for $99,900. Both disputes concerned equities.
If you have invested with ex-Morgan Stanley representative Charles "Chuck" Albert Dixon or with any broker or financial adviser whose unauthorized trading or churning in your accounts has proven harmful to your investments or interests through the imposition of excessive commissions, fees, or other losses, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.