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Dee Dee Brooks: Ex-Signator Investors Rep Resigns During Investigation Into Alleged Unregistered Securities Sales

Dee Dee Brooks

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 29, 2018 indicate that former California-based Signator Investors broker Dee Dee Brooks, who is registered as an investment adviser with Global Financial Private Capital, recently resigned from her former broker-dealer firm in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Brooks (CRD# 2559233).

Dee Dee Brooks has spent 21 years in the securities industry and has been registered as an investment adviser with Global Financial Private Capital in Huntington, California since August 2018. Previous registrations include Signator Investors in Huntington Beach, California (2015-2018); SCF Securities in Huntington Beach, California (2009-2015); Signator Investors in Irvine, California (2015); Lincoln Financial Securities Corporation in Huntington Beach, California (2003-2009); PMG Securities Corporation in Elgin, Illinois (2000-2002); Investors Brokerage Services in Elgin, Illinois (1999-2000); WMA Securities in Duluth, Georgia (1997-1998); and NYLife Securities in New York, New York (1995-1996). She has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on February 14, 2005; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on January 13, 1995; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on February 13, 1995. She is currently not registered as a broker with any state or firm.

According to her BrokerCheck report, she recently resigned from a former employer in connection to alleged rule violations.

In June 2018 she submitted her “voluntary resignation” from her position at Signator Investors while she was under an investigation seeking “to determine her level of involvement” in certain unregistered securities sales.

If you or someone you know has a complaint regarding Dee Dee Brooks, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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