Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that South Carolina-based Sandlapper Securities broker/adviser Austin Dutton Jr. has received resolved or pending customer disputes and has been sanctioned by state regulatory authorities. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dutton (CRD# 2739167).
Austin Dutton has spent 21 years in the securities industry and has been registered with Sandlapper Securities in Greenville, South Carolina since September 2017. Previous registrations include Center Street Securities in Doylestown, Pennsylvania (2017); Newbridge Securities Corporation in Doylestown, Pennsylvania (2007-2017); Boenning & Scattergood in Langhorne, Pennsylvania (2002-2007); Ferris Baker Watts in Baltimore, Maryland (2000-2002); AG Edward & Sons in St. Louis, Missouri (1997-2000); and Prudential Securities in New York, New York (1996-1997). He is a registered broker and investment adviser with 3 US states: Maryland, New York, and Pennsylvania.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, one regulatory sanction, and one customer complaint that was closed.