Austin Richard Dutton Jr., of Doylestown, Pennsylvania, a stockbroker currently registered with Newbridge Securities Corporation, has been named in a customer initiated investment related arbitration claim based upon allegations that Dutton breached his fiduciary and contractual duties owed to the customer, negligently managed the customer’s investment portfolio, and made misrepresentations and omissions concerning real estate investment trust products. The customer further alleged that Newbridge Securities Corporation failed to supervise Dutton’s activities.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on March 2, 2004, a customer filed an investment related written complaint involving Dutton’s conduct, based upon allegations that Dutton, while associated with Ferris, Baker Watts, Inc., handled the customer’s investment account in an inappropriate manner and made misrepresentations regarding the customer’s purchases of mutual funds and an equity indexed annuity.
Guiliano Law Group
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