Austin Dutton - Financial Advisor Auston Dutton Fined by the State of Pennsylvania
Goodman & Nekvasil P.A, May Recover Investor Losses | Austin Dutton - Financial Advisor Auston Dutton Fined by the State of Pennsylvania
Austin Dutton CRD #2739167
Austin Dutton is licensed with Sandlapper Securities, LLC and was previously licensed with Center Street Securities, Inc. and Newbridge Securities Corporation. FINRA reports that Austin Dutton was fined $200,000 by the State of Pennsylvania on July 24, 2017. According to FINRA, the State of Pennsylvania alleged that Austin Dutton recommended the purchase of a security to at least one customer without reasonable grounds to believe that the transaction was suitable for the customer. FINRA reports that the State of Pennsylvania also alleged that Austin Dutton engaged in dishonest or unethical practices in the securities business by recommending to a customer the purchase, sale, or exchange of a security without reasonable grounds to believe that the transaction or recommendation was suitable for the customer based upon reasonable inquiry concerning the customer’s investment objectives, financial situation and needs and other relevant information known by the agent.
FINRA reports that an arbitration claim involving Austin Dutton’s conduct with Newbridge Securities Corporation was filed alleging misrepresentations, omissions, breach of fiduciary duty, negligence, breach of contract and failure of supervision. This claim was settled, with Auston Dutton paying $13,799.08 of the settlement.
FINRA also reports that Austin Dutton was permitted to resign from a previous firm.
If you lost money on investments with Austin Dutton and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Sandlapper Securities, Center Street Securities, Inc. and/or Newbridge Securities Corporation concerning Austin Dutton’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $170 million on behalf of victimized investors. If you lost money on investments with Austin Dutton and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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