Gerald Dewes, previously with Cadaret Grant & Co., Barred by FINRA
Have you lost money with financial advisor Gerald Roger Dewes? We are looking into allegations made about Gerald Dewes from East Amherst, New York. FINRA (the Financial Industry Regulatory Authority) barred him from the securities industry. FINRA alleged that Dewes failed to respond to its investigation. FINRA was investigating him after he was terminated by Cadaret Grant & Co. regarding allegations that he sold investments in Elite Roasters, Inc. without disclosing it to the firm.
Gerald Roger Dewes was a financial advisor and registered representative of Cadaret Grant & Co. from August 2014 to November 2019. He worked in a branch office in East Amherst, New York.
Brokerage firms like Cadaret Grant & Co. have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including in New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Cadaret Grant & Co.