AUSTIN RICHARD DUTTON, JR

05/29/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. AUSTIN R. DUTTON, JR. (CRD No. 2739167), Respondent. Disciplinary Proceeding No. 2018059178401 Hearing Officer–RES DEFAULT DECISION May 29, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for making unsuitable recommendations of alternative investments; falsifying books and records of a FINRA member firm; and failing to respond, or failing to respond in a timely manner, to FINRA Rule 8210 requests for information and documents. In connection with making unsuitable recommendations, Respondent is ordered to pay disgorgement of $65,509 in commissions, plus prejudgment interest. Appearances For Complainant: Michael Dorfman-Gonzalez, Esq., Kay Lackey, Esq., Adam Balin, Esq., Alyssa Braver, Esq., Department of Enforcement, Financial Industry Regulatory Authority For Respondent: No appearance DECISION I. Introduction FINRA’s Department of Enforcement filed a Complaint ag

01/05/2024: 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.

Reference 2018059178401data-portal.finra.orgfinra.orgdata-portal.finra.org