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Kevin Brennan Formerly With Andrew Garrett Has 6 Customer Complaints For Alleged Broker Misconduct

Who is Kevin Brennan formerly with Andrew Garrett?

Kevin Brennan (CRD #3009014) who was formerly registered with Andrew Garrett and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.

Kevin Brennan has been the subject of multiple investigations by regulators, including, FINRA, the State of New Jersey, Nevada, and Iowa.  Over the years, he has been subject of a variety of sanctions by the regulators, including suspensions, and fines.

Kevin Brennan Customer Complaints

Kevin Brennan has been the subject of 6 customer complaints that we know about. One arbitration award was entered against Benson York Group for $320,000 due to Kevin Brennan’s alleged misconduct causing investors losses. Three of Kevin Brennan’s 6 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Andrew Garrett, Inc. for investment losses caused by Kevin Brennan’s alleged misconduct.

Allegations Against Kevin Brennan

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Kevin Brennan’s alleged churning, excessive commissions, unsuitable investments failure to supervise.
  • Churning allegedly by Kevin Brennan.
  • Unauthorized trades, trading on margin without authorization, excessive commissions allegedly by Kevin Brennan.
  • Unauthorized trading, misrepresentation allegedly by Kevin Brennan.
  • Kevin Brennan’s alleged unauthorized trading, securities fraud, negligence, breach of fiduciary responsibility and common law fraud.
  • Kevin Brennan’s alleged unsuitable investments, unauthorized trading, failure to supervise.

Kevin Brennan Red Flags & Your Rights As An Investor

Of course, Kevin Brennan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kevin Brennan at Andrew Garrett on alert to review carefully the activity and performance of their accounts and question whether Kevin Brennan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Andrew Garrett also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Andrew Garrett Due To Kevin Brennan

If you have questions about Andrew Garrett and/or Kevin Brennan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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