Leon Edward Dixon– Private Securities Transactions without Proper Notice

Rochester stockbroker fraud attorneyLeon Edward Dixon Allegedly Engaged in Private Securities Transactions without Proper Notice to AXA Advisors, LLC

Leon Edward Dixon, from approximately April 2014 through October 2015, allegedly engaged in private securities transactions without proper notice to AXA Advisors, LLC, according to a recent Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Investors who believe they may have lost money in activity related to Leon Edward Dixon’s alleged private securities transactions without proper notice are encouraged to contact attorneys Alan Rosca or James Booker with any useful information or for a free, no obligation discussion about their options.

The Peiffer Rosca Wolf securities lawyers are currently investigating Leon Edward Dixon’s alleged private securities transactions without proper notice.

Leon Edward Dixon allegedly invested approximately $18,000 in a private start-up company that purported to deliver broadband and telecommunications services and also allegedly solicited 15 of the AXA Advisors, LLC’s clients to invest in the aforementioned company and also facilitated those investments, according to the aforementioned AWC.

Leon Edward Dixon also allegedly made an untimely disclosure on his Form U4 regarding a civil judgment and also purportedly failed to make disclosures regarding an unsatisfied tax lien, and also willfully failed to disclose an alleged unsatisfied tax lien, the AWC reports.

Leon Edward Dixon Suspended and Fined $7,500 by FINRA

Dixon, by allegedly engaging in private securities transactions without notifying AXA Advisors, LLC, has been suspended by FINRA for five months and fined $7,500, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

In Dixon’s Form U5, AXA Advisors, LLC also allegedly made reports that at the time of termination, AXA was conducting an internal review of Dixon’s alleged ‘sales activities relating to potential sales of unapproved products”, the AWC states.

Leon Edward Dixon joined the securities industry around August 1977 and has also been associated with three FINRA-member broker-dealers since February 1981, and also was associated with AXA Advisors, LLC from September 1999 through his termination on September 16, 2016, according to the AWC.

Dixon is not currently registered with any FINRA member but is subject to FINRA jurisdiction pursuant to FINRA’s By-Laws, the AWC notes.

One should also note that, according to the AWC, Leon Edward Dixon neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of investment fraud and are currently investigating Leon Edward Dixon’s alleged private securities transactions without proper notice. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Leon Edward Dixon’s alleged private securities transactions without proper notice may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

Alan Rosca (1234 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.