WILLIAM HERMAN DIXON (WILLIAM H DIXON, BILL DIXON) CRD#: 68881, a former broker with Securities America of Urbana, OH, was accused of allegedly signing his dead client’s name on several documents, was barred by the Financial Industry Regulatory Authority (FINRA) on May 11, 2021, after he refused to cooperate with FINRA’s investigation into his termination.
Without admitting or denying FINRA’s findings, WILLIAM H DIXON consented to the sanction and to the entry of findings that he allegedly failed to provide documents requested by FINRA in connection with a Form U5 filed by Dixon’s former member firm, terminating his association with the firm as a result of his violation of the firm’s policies and procedures regarding the use of non-genuine client signatures barring him from the industry.
According to FINRA’s BrokerCheck, WILLIAM H DIXON, had been in the securities industry for 47 years and has 4 Disclosures on his FINRA CRD report. On September 16, 2019, Dixon was discharged from Securities America, Inc. following allegations that, “The representative was the subject of allegations that he signed his deceased client’s signature and initials to multiple annuity surrender forms. The representative admitted to the alleged activity and was subsequently discharged for violating the Firm’s policies and procedures regarding the use of non-genuine client signatures.”
When Dixon refused to produce the documents requested by FINRA, Dixon violated FINRA Rules 8210 and 2010 governing standards of commercial honor and principles of trade, according to FINRA. Last year FINRA reported that not producing documents to FINRA when requested is the most common offense causing brokers to be barred.
WILLIAM H DIXON had been listed with 10 firms in his 47 years in the securities industry, the most recent listed below:
10/07/2019 – 05/11/2021 SOUTHEAST INVESTMENTS, N.C. – CHARLOTTE, NC
09/23/2016 – 10/08/2019 SECURITIES AMERICA, INC. – URBANA, OH
If you or a loved one have experienced financial losses due to the actions or recommendations of the former broker, WILLIAM H DIXON, formerly listed with Securities America of Urbana, Ohio and Southeast Investments of Charlotte, North Carolina, contact Soreide Law Group and speak at no cost to an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group works on a contingency fee and represents our clients nationwide before FINRA.