Former Fresno financial advisor Steven Hirata (CRD# 1188927) was recently sanctioned by the Financial Industry Regulatory Authority for allegedly refusing...Read More
Dustin Perkins: Legacy Investment Advisor Accused of Negligence
Franklin, Tennessee financial advisor Dustin Perkins (CRD# 6583368) recently received an investor complaint alleging negligence and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a representative of Legacy Investment Planning and is registered with SA Stone Wealth Management as a broker and an investment advisor.
Mr. Perkins’ BrokerCheck report discloses one investor complaint against him. Filed in January 2022, the complaint alleges that he “recklessly encouraged the plaintiff to invest funds” with one of his other clients, who was also his friend. The complaint additionally alleges negligence, breach of fiduciary duty, and “violation of Tennessee’s Consumer Protection Act.” In April 2022 the complaint reached a settlement of $17,500.
According to the Financial Industry Regulatory Authority, Dustin Perkins holds six years of securities industry experience. Based in Franklin, Tennessee, he is a representative of Legacy Investment Planning, and he has been registered as a broker and an investment advisor with SA Stone Wealth Management since 2019. He was previously registered with MML Investors Services in Franklin, Tennessee from 2017 until 2019, and with MS Financial Services in Franklin from 2016 until 2017. His credentials include the passage of five securities industry qualifying examinations: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in Alabama, Florida, Georgia, Indiana, Kentucky, Nebraska, New Jersey, Oregon, South Carolina, Tennessee, and Vermont. (Information current as of August 5, 2022.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.