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.
A Nationwide survey finds 47% of GLP-1 users have never discussed the drugs’ financial impact with an advisor, even as many dip into savings.
The hundreds of millions of dollars from a sale of Inspired Healthcare properties does not mean an immediate windfall for investors.
Its SEC filings said one thing - a congressional probe said another.
Sham agreements allegedly padded revenue by 345%.
"Most pre-retirees are uncomfortable making key retirement income decisions without an advisor's help," said Chris Bailey of Cerulli.
Knighthead Life entered the market with a competitive MYGA. A strong launch earned advisor confidence and paved the way for FIAs.
As AI makes financial information more accessible than ever, Lana Hock explains why human judgment, trust, and empathy remain the qualities clients value most in a financial advisor
