David Carl Ferwerda of Grand Rapids Michigan a stockbroker formerly registered with Signator Investors Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to comply with FINRA in an investigation concerning his alleged unapproved private securities transactions. Letter of […]
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Tag Archives: David Carl Ferwerda
Signator Broker Barred By FINRA For Obstructing Investigation
November 12, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments
Signator Broker Investigated For Unregistered Securities
May 31, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities, Unregistered Securities | 0 Comments
David Carl Ferwerda of Grand Rapids Michigan a stockbroker formerly employed by Signator Investors Inc. is referenced in a Michigan Department of Licensing and Regulatory Affairs investigation into accusations that Ferwerda sold securities to customers that were neither registered nor exempt from registration in the state. FINRA Public Disclosure reveals that Ferwerda has been discharged […]
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