Gerald Roger Dewes of East Amherst, New York, a stockbroker formerly registered with Cadaret Grant Co. Inc., was referenced in a customer initiated investment related complaint which was settled for $58,000.00 in damages on September 3, 2021, based upon allegations that Dewes breached a fiduciary duty and defrauded the customer in connection with Dewes’ recommendations…
Matthew Howard Smith of Clifton Park, New York, a stockbroker formerly registered with Securities America Inc., has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement with failing to cooperate with investigators in regard to the reason for his termination as a stockbroker from Securities America. Department of Enforcement v. Matthew Smith, Disciplinary…
Robert James McNamara, of Albany, New York, a stockbroker formerly registered with Cadaret Grant Co., has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he made discretionary trades without written authorization at Cadaret Grant. Letter of Acceptance, Waiver, and Consent No….
Gerald Roger Dewes of East Amherst New York a stockbroker formerly registered with Cadaret Grant Co. Inc. is referenced in a customer initiated investment related written complaint on April 7, 2021, in which the customer requested more than $5,000.00 in damages based on allegations of a breach of fiduciary duty by Dewes as it pertained…
Matthew Gregory Zanowiak of Lancaster Pennsylvania a stockbroker currently registered with Cadaret Grant Co. Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Zanowiak made unauthorized trades in a customer’s account during the time that he was associated with Cadaret…
Steven Pagartanis of Seatauket New York a stockbroker formerly registered with Cadaret Grant Co. Inc. has been barred by United States Securities and Exchange Commission (SEC) from being a stockbroker or investment adviser representative or otherwise associating with securities broker dealers or investment advisories as Pagartanis pleaded guilty to conspiracy to commit mail and wire…
Paul Andrew Spero of Liverpool New York a stockbroker formerly registered with Cadaret Grant Co. Inc. has been fined $5,000.00 and suspended for fifteen days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he effected unauthorized trades in a customer’s account. Letter of Acceptance Waiver and…
Lee Evan Rosenberg of Boca Raton Florida a stockbroker and investment adviser representative of Cadaret Grant Co. Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $51,370.67 in damages based upon allegations that Rosenberg sold the customer a variable annuity that was unsuitable when Rosenberg…
Timothy James Pandekakes of Yonkers New York a stockbroker formerly registered with Cadaret Grant Co. has been suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he gave unsuitable investment advice to customers of Cadaret Grant. Letter of Acceptance Waiver and Consent No….
Nina MacGinn Maines (also known as Nina MacGinn Sander) of Baldwinsville New York a stockbroker and investment adviser representative of Cadaret Grant Co. Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that she engaged in unauthorized transactions during the period…
Paul Francis Seymour of Plattsburgh New York a stockbroker currently registered with Cadaret Grant Co. Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Seymour engaged in unauthorized trading in investor accounts. Letter of Acceptance Waiver and Consent No. 2019061646404 (Oct….
Gerald Roger Dewes of East Amherst New York a stockbroker formerly registered with Cadaret Grant Co. Inc. is the subject of a customer initiated investment related arbitration claim where the customer sought $1,710,000.00 in damages founded on allegations that a fiduciary duty that was owed to the customer had been breached and that the stockbroker…
Yvonne Marie Nirelli (also known as Yvonne Marie Fifield and as Yvonne Searles) of Canastota New York a stockbroker currently registered with Cadaret Grant Co. Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that she traded in customer accounts at…
Eugene James Long (also known as EJ Long) a stockbroker currently employed by Cadaret Grant Co. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he executed unauthorized trades in customer accounts. Letter of Acceptance Waiver and Consent No. 2019061646402 (July…
Robert James McNamara of Albany New York a stockbroker currently associated with Cadaret Grant Co. has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that McNamara facilitated unauthorized transactions in customer accounts during the period in which he was employed by Cadaret Grant. Letter of…
Cadaret Grant a securities broker dealer headquartered in Syracuse New York has been censured and fined $200,000.00 by Financial Industry Regulatory Authority (FINRA) based on findings that Cadaret Grant failed to supervise its stockbrokers who engaged in private securities transactions one or more of which was a Ponzi scheme. Letter of Acceptance Waiver and Consent…
William Forrest Winchester III (also known as Bill Woods) a stockbroker formerly associated with Raymond James Financial Services has been referenced in a Tennessee Securities Division Consent Order in which Winchester was fined $45,000.00 and subject to heightened supervision requirements supported by findings that Winchester engaged in unethical and dishonest practices by obtaining loans from…
Gerald Roger Dewes of East Amherst New York a stockbroker formerly registered with Cadaret Grant Co. Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings of Dewes’ failure to comply with the regulator during an investigation into his possible outside business activities and private…
Cadaret Grant Co. Inc. a broker-dealer headquartered in Syracuse New York along with its president Arthur Grant and chief compliance officer Beda Lee Johnson and stockbroker Eugene James Long have been named in a Securities and Exchange Commission (SEC) Order Instituting Administrative and Cease-and-Desist Proceedings containing findings of the firm’s failure to supervise its representatives’…
James Gordon Durso of Waterloo New York a stockbroker formerly employed by Invest Financial Corporation is referenced in a customer initiated investment related written complaint on January 4, 2016 where the customer sought damages estimated to exceed $5,000.00 supported by accusations that the customer was not made aware of the risks of volatility in her…
Cadaret Grant Co. Inc. is a FINRA member broker firm headquartered in Syracuse New York who has been censured and fined $800,000.00 by Financial Industry Regulatory Authority (FINRA) based on consenting to findings that it (1) failed to supervise its business practices with a view towards detecting and preventing bad investment recommendations (2) failed to…
Steven Pagartanis of Setauket New York a stockbroker formerly registered with Lombard Securities Incorporated who is barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations that he misappropriated customer funds and made fraudulent misrepresentations. Letter of Acceptance…
Steven Pagartanis, of Setauket, New York, a stockbroker formerly registered with Cadaret, Grant & Co., Inc., has been terminated by the firm on March 20, 2017, based on allegations that the firm received a customer initiated investment related arbitration claim pertaining to Pagartanis’ conduct that contained accusations of conversion of the customer’s funds, securities fraud…
Lee Evan Rosenberg, of Jericho, New York, a stockbroker currently registered with Cadaret, Grant & Co., Inc., is the subject of an investment related arbitration claim filed by the customer on February 2, 2017, where the customer sought $250,000.00 in damages founded upon allegations of suitability in reference to the customer’s mutual fund and annuities…
Cadaret, Grant & Co., Inc., a brokerage firm headquartered in Syracuse, New York, and its former registered representative, Charles Lee Deremo, of Eagan, Minnesota, have been censured and fined by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that Deremo made unsuitable investment recommendations to a firm customer, and the firm failed to…
Bernard G. McGee, of Cazenovia, New York, a stockbroker with Cadaret, Grant & Co., Inc. was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity per a National Adjudicatory Council Decision containing findings that McGee engaged in fraud, unsuitable recommendations, and unauthorized outside business activities. Department of Enforcement v….
Douglas William Finlay, Jr., a registered representative with Cadaret Grant, was suspended, fined, and forced to pay disgorgement by the Financial Industry Regulatory Authority after consenting to findings that Finlay engaged in an unsuitable recommendation and execution of a faulty transaction in his firm’s customer account. Letter of Acceptance, Waiver, and Consent, No. 2013035576601 (Apr….
Cadaret, Grant & Co., Inc., a FINRA member headquartered in Syracuse, NY, offers brokerage services to customers via roughly 935 registered reps throughout over 500 branch offices, and provides a majority of its reps the opportunity to offer insurance to investors not provided via the brokerage firm. The firm was censured and fined $75,000 by…