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Miami Investment Fraud Attorney
305.372.9700
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SunTrust International Center
Miami, Florida 33131

Tag Archives: Undisclosed Private Securities Transactions

Miami Broker Suspended for Five Months for Undisclosed Private Securities Transactions

By Staff |

The Financial Industry Regulatory Authority’s (“FINRA”) Department of Enforcement announced that Leon Edward Dixon (CRD No. 723675), a registered financial advisor based in Miami, Florida, was sanctioned for participating in undisclosed private securities transactions. At the time of the alleged misconduct, Mr. Dixon was employed as a registered securities broker at AXA Advisors, LLC…. Read More »

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