Articles Tagged with Brendan Shaw

Brendan Shaw

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 22, 2017 indicate that former Arizona-based Purshe Kaplan Sterling Investments broker/adviser Brendan Shaw has been named in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Shaw (CRD# 4721215).

Brendan Shaw has spent twelve years in the securities industry and was most recently registered with Purshe Kaplan Sterling Investments in Scottsdale, Arizona (2012-2016). Previous registrations include Mutual Securities in Scottsdale, Arizona (2005-2012) and UBS Financial Services in Weehawken, New Jersey (2003-2006). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one pending customer complaint and was terminated from one former employer.