Soreide Law Group is currently investigating claims against Great American Advisors, and its former broker, David Brouwer. Brouwer allegedly had made misrepresentations about equity-linked notes that he recommended to some of his clients in 2007 and 2008.
In 2011, the SEC issued an Order Instituting Administrative and Cease-and-Desist Proceedings against Brouwer, which barred Brouwer from any broker/dealer and investment advisor.
According to FINRA's BrokerCheck, Brouwer is not currently registered with FINRA.:
DAVID G. BROUWER
CRD# 1351773
Brouwer was previously registered with FINRA at the following brokerage firms:
GREAT AMERICAN ADVISORS, INC.
CRD# 36451
HOMESTEAD, FL
05/2002 - 09/2009
EDWARD JONES
CRD# 250
ST. LOUIS, MO
05/1985 - 04/2000
If you sustained investment losses with Great American Advisors and David Brouwer, call for a free consultation on how to potentially recover your losses at: 888-760-6552.
In a recent article from Financial Advisor they state that the customers of Kestra have filed a complaint against the broker/dealer with the Financial Industry Regulatory Authority’s (FINRA) arbitration service. The article states that the customers allege that one of Kestra’s representatives led them to a volatile and unsuitable exchange-traded product. Additionally, they allege he […]
Investors potentially incurred losses because of securities broker Diego Soares Bacellar [CRD: 6808326, Miami, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Diego Bacellar worked for Northwestern Mutual Investment Services LLC from April 8, 2019, to May 1, 2026. Investors are encouraged to continue reading to discover more about the disclosures involving […]
Investors apparently complained about securities broker Mark Allen Herding [CRD: 2239357, Phoenix, Arizona], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Herding worked for Cambridge Investment Research Inc. from October 19, 2012, to February 14, 2018, and Cambridge Investment Research Advisors Inc. from November 15, 2012, to February 14, 2018. Since January 31, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com