2019064639701 Gerald Roger Dewes CRD 2465538 AWC sl (2020-1588205973524).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064639701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gerald Roger Dewes, Respondent Former General Securities Representative and General Securities Principal CRD No. 2465538 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Gerald Roger Dewes submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

1014. Department Decision

(a) Standards for Admission
After considering the application, the membership interview, other information and documents provided by the Applicant, other information and documents obtained by the Department, and the public interest and the protection of investors, the Department shall determine whether the Applicant meets each of the following standards:
(1) The application and all supporting documents are complete and accurate.
(2) The
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