Gerald Dewes, Formerly of Cadaret, Grant & Co., Barred by FINRA for Refusing to Appear for Testimony

Dewes was being investigated by FINRA based on potential participation in undisclosed private securities transactions and outside business activities.

The Sonn Law Group is investigating allegations that Gerald Dewes engaged in undisclosed private securities transactions and outside business activities. If you or a family member has suffered losses investing, we want to discuss your case. Please contact us today for a free review of your case.

gerald-dewes-refusal-to-appear-for-testimonyGerald Dewes (CRD#: 2465538) was discharged from Cadaret, Grant & Co., in November 2019 after allegations that he sold away from the firm by soliciting client investments into an undisclosed outside business activity, Elite Roasters, Inc., for which he was an officer and a director. Based on this information, FINRA initiated an investigation into Dewes.

In connection with their investigation, FINRA sent a request to Dewes that he appear for on-the-record testimony. Dewes’s attorney sent an email to FINRA’s staff on March 20, 2020, stating that he received FINRA’s request and would not appear for testimony at any time.

By refusing to appear for testimony, Dewes violated FINRA Rule 8210. FINRA sanctioned Dewes in the form of a bar from associating with any FINRA member firm in any capacity.

Dewes has five other disclosures on his BrokerCheck report.


November 2019 Customer Dispute


January 2018 Judgment / Lien


February 2014 Judgment / Lien


September 2002 Customer Dispute


September 2015 Customer Dispute


Contact Us Today

The Sonn Law Group is currently investigating allegations that Gerald Dewes engaged in undisclosed private securities transactions and outside business activities. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.

CONTACT US FOR A FREE CONSULTATION

Se Habla Español

Contact our office today to discuss your case. You can reach us by phone at 844-689-5754 or via e-mail. To send us an e-mail, simply complete and submit the online form below.