RedFlag, Allegation and/or Complaint against MICHAEL DAVID DIXON
Disclosure #1 for MICHAEL DIXON
- Event Date: 6/19/2008
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: WITH REGARD TO A FLEXIBLE PREMIUM VARIABLE ANNUITY PURCHASED IN APRIL 2000, CUSTOMER ALLEGES AMONG OTHER THINGS THAT AFTER THE DEATH OF HER HUSBAND, SHE SIGNED DOCUMENTATION TO REMOVE HER HUSBAND’S NAME FROM THE ACCOUNT AND THAT SHE NEVER GAVE INSTRUCTIONS NOR AUTHORIZED THE RR TO MAKE ANY OTHER CHANGES TO THE ANNUITY. CUSTOMER MAINTAINS THAT THE RR CLOSED THE ACCOUNT WITHOUT HER AUTHORIZATION. CUSTOMER IS REQUESTING FOR THE REINSTATEMENT OF THE ANNUITY.
- Arbitration Docket Number:
- Broker Comment: THE COMPENSATORY DAMAGE AMOUNT IS $5000 OR MORE BASED ON OUR GOOD FAITH ESTIMATE.
Should I file a FINRA complaint against brokers like MICHAEL DAVID DIXON?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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