Tag Archives: Gerald Roger Dewes

Investors Bring FINRA Arbitration Claim Against Cadaret Grant For Breach Of Fiduciary Duty

November 04, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Securities Arbitration Claims   |   Comments Off on Investors Bring FINRA Arbitration Claim Against Cadaret Grant For Breach Of Fiduciary Duty

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 […]

Read More »

Cadaret Grant Stockbroker Barred In Investigation

April 08, 2020  |   Posted by :   |   Direct Participation Programs, Selling Away and Outside Activities   |   Comments Off on Cadaret Grant Stockbroker Barred In Investigation

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 […]

Read More »