FINRA found that this refusal constituted violations of FINRA Rules 82. 2018057887801) dated October 2018, FINRA sent David Ferwerda a request on Augto provide documents and information by Septemin connection with its examination of his “participation in sales of notes related to the Woodbridge Group of Companies,” which FINRA describes as “a group of unregistered investment companies.” According to FINRA’s findings, Ferwerda requested via counsel an extension until September 21, but did not provide the requested documents and information by that date, and instead indicated via counsel that he would not provide documents and information in compliance with the request. A former representative of Signator Investors, Ferwerda was barred from acting as a broker or otherwise associating with a broker-dealer firm.Īccording to a Letter of Acceptance, Waiver and Consent ( No. David Ferwerda: FINRA Bars Grand Rapids Financial AdvisorĪ disciplinary action taken by the Financial Industry Regulatory Authority against former Grand Rapids, Michigan broker and investment advisor David Ferwerda (CRD# 832431) barred him after finding he failed to cooperate with an investigation into allegations he participated in unregistered offerings.
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