Public records published by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that Pennsylvania-based Newbridge Securities Corporation broker/adviser Austin Dutton Jr. has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dutton (CRD# 2739167).
Austin Dutton has spent 19 years in the securities industry and has been registered with Newbridge Securities Corporation in Doylestown, Pennsylvania since 2007. Previous registrations include Boenning & Scattergood in Langhorne, Pennsylvania; Ferris Baker Watts in Baltimore, Maryland; AG Edward & Sons in St. Louis, Missouri; and Prudential Securities in New York, New York. He is a registered broker and investment adviser with ten US states and territories: California, Delaware, Florida, Maryland, New Jersey, New York, North Carolina, Pennsylvania, Texas and Utah.
According to his BrokerCheck report, Austin Dutton has been the subject of one customer complaint and resigned from Prudential Securities.
In April 2015, a customer alleged Austin Dutton, while employed at Newbridge Securities Corporation, misrepresented and omitted material facts, breached his fiduciary duty, acted negligently, breached contract, and failed to supervise. The complaint, in which Mr. Dutton was not a named respondent, settled in March 2016 for $14,999, to which Mr. Dutton individually contributed $13,799.08.
In 2004, a customer alleged Austin Dutton, while employed at Ferris Baker Watts, misrepresented material facts and inappropriately handled the account. The customer sought unspecified damages in the complaint, which was denied.
In 1997, Austin Dutton was “permitted to resign” from his position at Prudential Securities following allegations he held a conversation with a person in a state where he was not registered.
If you or someone you know has a complaint regarding Austin Dutton Jr., call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup losses. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.