The Financial Industry Regulatory Authority Inc. has barred Gerald Dewes, a former representative who had been affiliated with Cadaret Grant, for failing to take part in an investigation looking into charges that he solicited investments in a company in which he had an interest.
Dewes was discharged by Cadaret Grant in November 2019 for selling away. He currently operates as a registered investment adviser through Sunbridge Management, a registered investment advisory firm in East Amherst, N.Y., of which he is the principal.
Dewes began his securities career in 1994 and was affiliated with Cadaret Grant for five years.
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Elsewhere, an advisor formerly with a Commonwealth affiliate firm is launching her own independent practice with an Osaic OSJ.
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