Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 13, 2017 indicate that former California-based Independent Financial Group broker Dale Norton is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Norton (CRD# 1069797).
Dale Norton has spent 33 years in the securities industry and was most recently registered with Independent Financial Group in Newhall, California (2011-2016). Previous registrations include QA3 Financial Group in Newhall, California; Mutual Service Corporation in Santa Clarita, California; Titan/Value Equities in Irvine, California; and Westlake Securities. He is currently not registered with any state or firm.
According to his BrokerCheck report, Dale Norton was discharged from one former employer.
In December 2016 Dale Norton was terminated from his position at Independent Financial Group in connection to his alleged “Violation of firm policy with respect to circulation or distribution of any communication containing false or misleading statements regarding licensing or qualifications.”
Federal securities law prohibits brokers like Dale Norton from making untrue or false statements that can mislead their clients, an act referred to as “misrepresentation.” They are similarly forbidden from omitting material facts regarding an investment, or the effect that an investment could have on the client’s finances. A “material fact” is a piece of information that would be a significant consideration for a reasonable investor in making a decision about an investment. Some examples include the risk level of a stock, the potential return on an investment, or the fees involved with the transaction. Brokers and investment advisers who misrepresent material facts may be subject to disciplinary action from FINRA, the Securities and Exchange Commission, or state authorities.
If you or someone you know has lost money investing with Dale Norton, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.