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James Brennan Has Fourteen Customer Complaints

James BrennanAccording to records published by the Financial Industry Regulatory Authority (FINRA) on February 16, 2016, former California-based TR Winston & Company broker James Brennan is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints Mr. James Brennan (CRD# 821647).

James Brennan has spent 36 years in the securities industry and was most recently registered with TR Winston & Company in Los Angeles, California. Previous registrations include Gilford Securities in New York, New York; Blaine Andrews & Company; Shearson Lehman Brothers; Drexel Burnham Lambert; Lehman Brothers Kurt Loeb; Lehman Brothers; and Merrill Lynch. He is currently not registered with any state or firm.

According to his BrokerCheck report, James Brennan is the subject of fourteen customer complaints.

  • In 1993 a customer alleged James Brennan, while employed at Painewebber, breached his contract, acted negligently, misrepresented material facts, and breached his fiduciary duty. The complaint settled in 1995 for $47,000.
  • In 1988 a customer alleged James Brennan, while employed at Shearson Lehman, made an unsuitable recommendation and engaged in improper margin trading. The complaint settled in 1991 for $63,000, to which Mr. Brennan individually contributed $31,500.
  • In 1987 a customer filed a complaint against Brennan detailing unspecified allegations. The complaint settled for $255,000.
  • In 1987 a customer alleged James Brennan, while employed at Shearson Lehman Hutton, acted negligently, misrepresented material facts, breached his fiduciary duty, breached his contract, and converted funds. The complaint settled in 1988 for $75,000.
  • In 1986 a customer filed a complaint against James Brennan detailing unspecified allegations related to his conduct at Shearson Lehman Hutton. The complaint settled for $55,000.
  • In 1985 a customer filed a complaint against James Brennan detailing unspecified allegations. The complaint settled for $32,000.
  • In 1985 a customer filed a complaint against Brennan detailing unspecified allegations related to his conduct at Shearson Lehman Hutton. The complaint settled for $950,000.

In 1985 a customer filed a complaint against James Brennan detailing unspecified allegations related to his conduct at Shearson Lehman Hutton. The complaint settled for $150,000.

If you or someone you know has lost money investing with James Brennan, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.