{"id":19961,"date":"2021-09-17T10:27:32","date_gmt":"2021-09-17T15:27:32","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=19961"},"modified":"2021-09-16T10:28:40","modified_gmt":"2021-09-16T15:28:40","slug":"american-trust-investment-services-broker-investigation","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/american-trust-investment-services-broker-investigation\/","title":{"rendered":"American Trust Investment Services Broker Austin Dutton Named in 26 Investor Disputes"},"content":{"rendered":"<h2><span style=\"font-weight: 400;\">Pennsylvania Financial Advisor is Accused of Making Unsuitable Recommendations\u00a0<\/span><\/h2>\n<p><span style=\"font-weight: 400;\">Austin Richard Dutton, Jr., an American Trust Investment Services stockbroker, is currently the subject of a Financial Industry Regulatory Authority (FINRA) arbitration case. The self-regulatory organization (SRO) has made a preliminary determination to recommend disciplinary action against him. The Doylestown, PA financial advisor is accused of violating FINRA Rules 2111,\u00a0 2010, and 4511.\u00a0\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">FINRA announced its preliminary determination involving Dutton in March 2021. <\/span><a href=\"https:\/\/www.finra.org\/rules-guidance\/key-topics\/suitability#:~:text=FINRA%20Rule%202111%20requires%20that,is%20suitable%20for%20the%20customer.&amp;text=Brokers%20must%20have%20a%20firm,customer%2C%20according%20to%20Rule%202111.\"><span style=\"font-weight: 400;\">FINRA Rule 2111<\/span><\/a><span style=\"font-weight: 400;\"> has to do with suitability and requires broker-dealers and their registered representatives to only make recommendations that are suitable for each customer.\u00a0 Rule 2010 mandates that members abide by high standards of commercial honor and fair and equitable principles of trade. Rule 4511 requires FINRA members to make records and books and preserve them for at least six years.\u00a0<\/span><\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/american-trust-investment-services-broker-investigation\/\"  title=\"Continue Reading American Trust Investment Services Broker Austin Dutton Named in 26 Investor Disputes\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Pennsylvania Financial Advisor is Accused of Making Unsuitable Recommendations\u00a0 Austin Richard Dutton, Jr., an American Trust Investment Services stockbroker, is currently the subject of a Financial Industry Regulatory Authority (FINRA) arbitration case. The self-regulatory organization (SRO) has made a preliminary determination to recommend disciplinary action against him. The Doylestown, PA financial advisor is accused of [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":19962,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[4005,4507],"tags":[4587,4616,2563,4353],"class_list":["post-19961","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-misrepresentations-and-omissio","category-unsuitability","tag-american-trust-investment-services","tag-austin-dutton","tag-misrepresentations-and-omissions","tag-unsuitability"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>American Trust Investment Services Broker Under Investigation | Investor Lawyers<\/title>\n<meta name=\"description\" content=\"American Trust Investment Services broker Austin Dutton is under investigation for allegedly making unsuitable investment recommendations.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/american-trust-investment-services-broker-investigation\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"American Trust Investment Services Broker Under Investigation | Investor Lawyers\" \/>\n<meta name=\"twitter:description\" content=\"American Trust Investment Services broker Austin Dutton is under investigation for allegedly making unsuitable investment recommendations.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2021\/09\/gyorgy-bakos-kqcIQrwVsrw-unsplash-1.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards &amp; Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"American Trust Investment Services Broker Under Investigation | Investor Lawyers","description":"American Trust Investment Services broker Austin Dutton is under investigation for allegedly making unsuitable investment recommendations.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.investorlawyers.com\/blog\/american-trust-investment-services-broker-investigation\/","twitter_card":"summary_large_image","twitter_title":"American Trust Investment Services Broker Under Investigation | Investor Lawyers","twitter_description":"American Trust Investment Services broker Austin Dutton is under investigation for allegedly making unsuitable investment recommendations.","twitter_image":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2021\/09\/gyorgy-bakos-kqcIQrwVsrw-unsplash-1.jpg","twitter_misc":{"Written by":"Shepherd Smith Edwards &amp; Kantas, LLP","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.investorlawyers.com\/blog\/american-trust-investment-services-broker-investigation\/#article","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/american-trust-investment-services-broker-investigation\/"},"author":{"name":"Shepherd Smith Edwards &amp; Kantas, LLP","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"headline":"American Trust Investment Services Broker Austin Dutton Named in 26 Investor Disputes","datePublished":"2021-09-17T15:27:32+00:00","mainEntityOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/american-trust-investment-services-broker-investigation\/"},"wordCount":578,"image":{"@id":"https:\/\/www.investorlawyers.com\/blog\/american-trust-investment-services-broker-investigation\/#primaryimage"},"thumbnailUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2021\/09\/gyorgy-bakos-kqcIQrwVsrw-unsplash-1.jpg","keywords":["American Trust Investment Services","Austin Dutton","Misrepresentations and omissions","unsuitability"],"articleSection":["Misrepresentations and Omissions","Unsuitability"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.investorlawyers.com\/blog\/american-trust-investment-services-broker-investigation\/","url":"https:\/\/www.investorlawyers.com\/blog\/american-trust-investment-services-broker-investigation\/","name":"American Trust Investment Services Broker Under Investigation | Investor Lawyers","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/american-trust-investment-services-broker-investigation\/#primaryimage"},"image":{"@id":"https:\/\/www.investorlawyers.com\/blog\/american-trust-investment-services-broker-investigation\/#primaryimage"},"thumbnailUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2021\/09\/gyorgy-bakos-kqcIQrwVsrw-unsplash-1.jpg","datePublished":"2021-09-17T15:27:32+00:00","author":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"description":"American Trust Investment Services broker Austin Dutton is under investigation for allegedly making unsuitable investment recommendations.","breadcrumb":{"@id":"https:\/\/www.investorlawyers.com\/blog\/american-trust-investment-services-broker-investigation\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.investorlawyers.com\/blog\/american-trust-investment-services-broker-investigation\/"]}]},{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.investorlawyers.com\/blog\/american-trust-investment-services-broker-investigation\/#primaryimage","url":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2021\/09\/gyorgy-bakos-kqcIQrwVsrw-unsplash-1.jpg","contentUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2021\/09\/gyorgy-bakos-kqcIQrwVsrw-unsplash-1.jpg","width":640,"height":427,"caption":"American Trust Investment Services broker Austin Dutton is under investigation for allegedly making unsuitable investment recommendations."},{"@type":"BreadcrumbList","@id":"https:\/\/www.investorlawyers.com\/blog\/american-trust-investment-services-broker-investigation\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.investorlawyers.com\/blog\/"},{"@type":"ListItem","position":2,"name":"American Trust Investment Services Broker Austin Dutton Named in 26 Investor Disputes"}]},{"@type":"WebSite","@id":"https:\/\/www.investorlawyers.com\/blog\/#website","url":"https:\/\/www.investorlawyers.com\/blog\/","name":"Investor Lawyers Blog","description":"Published By Investment Fraud Attorneys \u2014 Shepherd Smith Edwards &amp; 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