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Joan Norton Has Received a Pending Regulatory Complaint

Joan NortonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 18, 2018 indicate that Florida-based International Assets Advisory broker/adviser Joan Norton has received resolved or pending customer disputes and a regulatory sanction. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Norton (CRD# 1777913).

Joan Norton has spent 30 years in the securities industry and has been registered with International Assets Advisory in Orlando, Florida since 2016. Previous registrations include Ausdal Financial Partners in Woburn, Massachusetts (2009-2016); Waterstone Financial Group in Woburn, Massachusetts (2003-2009); FSC Securities Corporation in Atlanta, Georgia (2001-2003); and Waddell & Reed in Overland Park, Kansas (1987-2001). She has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on March 11, 1997; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on December 15, 1987; Series 7 (General Securities Representative Examination), which she obtained on June 3, 1997; Series 22 (Direct Participation Programs Representative Examination), which she obtained on August 2, 1988; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on December 10, 1987. She is a registered broker and investment adviser with ten US states: Connecticut, Florida, Massachusetts, Michigan, New Hampshire, New Jersey, New York, North Carolina, Rhode Island, and Virginia.

According to her BrokerCheck report, she has received one customer complaint, one pending regulatory complaint and one regulatory sanction.

In February 2018 a customer alleged Joan Norton, while employed at Ausdal Financial Partners, misrepresented information on the new account form used to determine suitability and asked her to sign a blank form. The customer is seeking $5,100 in damages in the pending complaint.

In 2016 the State of Massachusetts sanctioned her in connection to prior complaints against her, including that she gave improper advice and sold an unsuitable annuity. She was placed on a heightened supervision plan for three years.

In 2014 a customer alleged Joan Norton, while employed at Ausdal Financial Partners, acted negligently, recommended unsuitable products, made false claims, breached her fiduciary duty, breached contract, committed fraud, and misrepresented material facts. The complaint resulted in an award to the customer of $1,240,000.

If you have lost money investing with Joan Norton, call Fitapelli Kurta at 877-238-4175 without delay. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited by law, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.