Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Dutton (Dutton), previously associated with Peak Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dutton recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on December 08, 2023.
BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, FAILURE TO SUPERVISE AND NEGLIGENCE.