Securities Lawyers Blog
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Gerald Dewes (Dewes), working out of East Amherst, New York, has been barred by a financial regulator concerning allegations that he engaged in the sales of private securities among other allegations. Dewes was barred by The Financial Industry Regulatory Authority (FINRA) concerning his private securities sales conduct. According to BrokerCheck records, Dewes was formerly registered with FINRA member firm Cadaret, Grant & Co., Inc. (Cadaret Grant). If you have been a victim of Dewes’ alleged misconduct our firm may be able to assist you in recovering funds.
In March 2020 FINRA found that Dewes consented to the sanctions and a bar from them industry as well as to the entry of findings that he refused to appear for testimony before FINRA during the course of an investigation into his potential participation in undisclosed private securities transactions and outside business activities. In addition, Cadaret Grant terminated Dewes alleging that he sold away from the firm by soliciting client investments into an undisclosed outside business activity called Elite Roasters, Inc. (Elite Roasters) for which he was an officer and director.
According to Dewes’ publicly disclosed records his outside business activities include Sunbridge Management.