David Ferwerda was being investigated by FINRA for participation in sales of notes related to a group of unregistered investment companies
The Sonn Law Group is investigating allegations that David Ferwerda committed misconduct. Under FINRA Rules, brokerage firms are liable for their brokers’ misconduct or negligence and investors may be able to their investment through FINRA arbitration. Contact Sonn Law Group today or call us at 866–827–3202 for a free consultation.
David Ferwerda (CRD#: 832431) consented to sanctions and to the entry of findings that he failed to provide FINRA with requested documents and information to complete their investigation into his activities. FINRA initiated their investigation after Ferwerda was discharged from Signator Investors following allegations that Ferwerda was involved in the sale of unapproved outside investments.
Ferwerda was also investigated by the Michigan Department of Licensing and Regulatory Affairs in 2018 regarding the involvement in the sale of unregistered securities.
Jeffrey R. Sonn is an experienced investor losses attorney. If you suffered losses because a financial professional committed acts in violation of FINRA Rules, Mr. Sonn will protect your rights and interests. Please do not hesitate to contact the Sonn Law Group today for a free review of your claim.