Published on:

William “Pat” Brennan: TIC Complaint for Broker

William “Pat” BrennanThe securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against California-based Independent Financial Group broker/adviser William “Pat” Brennan (CRD# 3090544).

William “Pat” Brennan has spent seventeen years in the securities industry and has been registered with Independent Financial Group in San Diego, California since 2003. He was previously registered with Sentra Securities Corporation in Phoenix, Arizona (1998-2003). He is a registered broker with nineteen US states.

According to his BrokerCheck report, William “Pat” Brennan is the subject of three customer complaints and one pending customer complaint.

In 2015 a customer alleged William “Pat” Brennan, while employed at Independent Financial Group, breached his fiduciary duty, breached contract, and recommended two unsuitable tenant-in-common (TIC) investments. The customer is seeking $900,000 in damages in the pending complaint.

In 2012 a customer alleged William “Pat” Brennan, while employed at Independent Financial Group, breached his fiduciary duty, breached contract, recommended an unsuitable TIC investment, and violated the California Corporate Code. The complaint settled for $350,000.

In 2011 a customer alleged William “Pat” Brennan, while employed at Independent Financial Group, acted negligently, omitted material facts, violated federal securities law, and sold unregistered TIC investments. The complaint settled in 2013 for $307,015.

In 2011 a customer alleged William “Pat” Brennan, while employed at Independent Financial Group, committed fraud, misrepresented material facts, breached contract, and breached his fiduciary duty. The complaint settled in 2012 for $155,000.

If you have lost money investing with William “Pat” Brennan, you may be entitled to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim might be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.