FINRA Broker Allegations

Allegations against: Donald Gene Dewaay

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: 06/2007-05/2009. Claimant alleges lack of principal supervision by mr. Dewaay over her adviser. However, mr. Dewaay was principal for only one month, 10-12-2007 - 11/15/2007 over her representative.