William Weaks Brennan of Chesterfield Missouri a stockbroker currently registered with LPL Financial LLC is the subject of a customer initiated investment related arbitration claim where the customer requested $22,978.25 in damages supported by accusations that equity transactions were executed in the customer’s account that were not suitable for the customer. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-03457 (Jan. 11, 2018).
FINRA Public Disclosure additionally reveals that on June 1, 2017, a customer filed an investment related complaint involving Brennan’s conduct where the customer alleged that inappropriate stock trades had been effected in the customer’s investment portfolio.
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