Cadaret Grant & Co » News for Investors

Nina Maines, Broker and Investment Adviser with Cadaret, Grant & Co., Suspended by FINRA Following Allegations of Unauthorized Discretionary Trading

Jeffrey Sonn
Oct 01, 2020
Posted in Broker / Advisor Investigations

Maines allegedly exercised discretion in customer accounts without written authorization. The Sonn Law Group is investigating allegations that Nina Maines made unauthorized discretionary trades. If[...]

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

Jeffrey Sonn
Apr 16, 2020
Posted in Broker / Advisor Investigations

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[...]