Investment News: FINRA Smacks Philly Broker with Wells Notice

On December 18, 2023, Bruce Kelly of Investment News writes about Philly broker Austin Dutton and his recent woes, which include a Wells Notice issued by the Financial Industry Regulatory Authority. Dax White, of The White Law Group, is quoted, ““We’ve had a bunch of Austin Dutton complaints from investors, and I’m not surprised to hear he is being investigated by a securities regulator,” said Dax White, a plaintiff’s attorney. “Finra is looking to get his attention with the Wells Notice. It’s not a good day for Austin Dutton.”