2018059178401 Austin R. Dutton, Jr. CRD 2739167 Complaint vr (2024-1707351594944).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2018059178401 Department of Enforcement, Complainant, v. Austin R. Dutton, Jr. (CRD No. 2739167), Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between May 2014 and February 2020 (the “Relevant Period”), Respondent Austin R. Dutton, Jr. (“Dutton”) made unsuitable recommendations to 10 customers to purchase more than $1.2 million in alternative investments.

2024’s Must-Read | FINRA’s Annual Regulatory Oversight Report

As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity, and no single resource is a better example of that than FINRA's Annual Regulatory Oversight Report. On this episode, we hear from four leaders within FINRA's Member Supervision department to discuss highlights from the 2024 report.
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