Tag Archives: Brendan Patrick Shaw

Regulator Bars Thomson Financial Stockbroker Unsuitable Options Trading

February 03, 2020  |   Posted by :   |   Defective Option Strategies, Investment and Regulatory News, Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on Regulator Bars Thomson Financial Stockbroker Unsuitable Options Trading

Brendan Patrick Shaw of Scottsdale Arizona a stockbroker associated with Purshe Kaplan Sterling Investments and Thomson Financial Advisors LLC has been (1) barred from working as a stockbroker or investment adviser representative (2) ordered to cease and desist from violating securities laws or regulations and (3) fined $20,000.00 based upon allegations that highly risky and […]

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Purshe Kaplan Sterling Sued By Customer For Fraud

March 07, 2018  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   Comments Off on Purshe Kaplan Sterling Sued By Customer For Fraud

Brendan Patrick Shaw of Scottsdale Arizona is a stockbroker formerly registered with Purshe Kaplan Sterling Investments and investment advisor representative with Thomson Financial Advisors LLC who is the subject of a customer initiated investment related arbitration claim in which the customer requested seven million five hundred thousand dollars in damages based upon accusations that the […]

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