Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Dixon (Dixon), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dixon recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $250,000.00 on November 08, 2022.
Misrepresentation and Suitability. 3/21/2008 thru 9/27/2021