First Trust February 9, 2024 Levin Papantonio is currently accepting cases concerning the First Trust family of Strategic High Income mutual funds (“First Trust”). The First Trust mutual funds, the Strategic High Income Fund (FHI), the Strategic High Income Fund II (FHY), and the Strategic High Income Fund III (FHO), held some of the riskiest and most illiquid collateralized debt obligations […] Read More
FINRA Suspends Formerly Registered Broker and Investment Advisor Austin Dutton, Who Targeted Police, Firefighters November 6, 2023 BrokerCheck reports that the Financial Industry Regulatory Authority (FINRA) has indefinitely suspended previously registered broker and investment advisor Austin Richard Dutton Jr. (CRD# 2739167) “for failure to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.” As reported in a 2017 Philly.com article, […] Read More
Former Wedbush Securities Broker Jonathan Way Barred from Industry September 21, 2023 Jonathan Walter Way is a previously registered broker who has since been barred from acting as a broker or associating with a broker-dealer firm. Throughout his thirty-eight years of experience, Mr. Way has received six customer complaints against him for various sales practice allegations. For example, In December 2022, a customer alleged excessive, unauthorized, and […] Read More
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