Former Stock Broker Brennan

Jun 29, 1999. Mr. Brennan, 55 and retired in Juno Beach, Fla., filed for bankruptcy in 1995. Soon before, a Federal judge in New York issued a $71.5 million judgment against Mr. Brennan and First Jersey Securities, a brokerage firm he founded, for violating Federal securities laws. The Securities and Exchange.

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Jul 20, 2016. raised in total for the Scenic City Companies, Brennan and Dyer offered and sold over 45 million shares in. Series 7, 8, 24 and 63 securities licenses and worked for several broker dealers until. 1996. 13. Dyer, 56. First, during the entire eight year offering period, not a single Form 10, the SEC form use in.

Community & Professional Affiliations. Merrimack Youth Association, Coach, 2008-2010; Merrimack County Diversion Program, Life Skills Class Instructor, 2010-2014. Find more about my securities licenses, disclosures and work history on FINRA's BrokerCheck · Learn about our modern approach to wealth management.

Jan 9, 2011. BELMAR — On a desk in a vacant Belmar storefront window sits a clue that one of the state's most infamous characters has resurfaced. A caricature titled " Wheeling and Dealing" pictures a grinning Robert E. Brennan, the notorious penny stock kingpin of the 1980s and '90s who was accused of defrauding.

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Nov 7, 2013. Less than three years after he was released from prison, Robert E. Brennan found himself on familiar ground: working at Due Process Golf and Horse Stables in Colts Neck and being named as a defendant in a lawsuit.

Aug 2, 2000. This is the case despite the fact that one state judge called him "a big crook," and a federal judge called him a liar, all in the context of a variety of securities fraud allegations Brennan faced over the years arising from his operation of First Jersey Securities, a nationwide brokerage that went out of business in.

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A release from the TDCI says James Hugh Brennan III and Douglas Albert Dyer, co-owners operating Chattanooga-based Broad Street Ventures, LLC., allegedly raised more than $5 million from investors without using the money as promised. (Image: MGN). AA. CHATTANOOGA, Tenn. —. Two former brokers with.

Former stock broker Robert Orr was found suffering from one stab wound in the the lobby of the building at 5614 Balsam Street at around 6:30 a.m. Police were called to the scene after reports of a fight. The 59-year-old victim was.

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The U.S. Securities and Exchange Commission on Friday secured an asset freeze against two former brokers. Former Brokers’ Assets Frozen As SEC. Brennan.

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Brennan, you may recall, burst onto the national stage in the 1980s with TV commercials that showed him stepping from his helicopter and inviting would-be clients to "come grow with us." But Brennan's brokerage, First Jersey Securities, was later found to be a "massive and continuing fraud" on small investors, according to.

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Defendants First Jersey Securities, Inc. (“First Jersey” or the “Firm”), and Robert E. Brennan appeal from a judgment entered in the United States District Court for the Southern. First Jersey was founded in 1974 as a discount broker-dealer specializing in the underwriting, trading, and distribution of low-priced securities.

May 16, 2002. Robert E. Brennan was the previous owner and operator of a brokerage firm known as First Jersey Securities, Inc. For over 15 years, Gaito and Moore Stephens were the auditors of First Jersey. Gaito also served Brennan in various other capacities as bank account signatory, registered agent or trustee for a.

Make it two in a row for the former stockbroker who is now a business.

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A special SEBI court has sent former stock broker Ketan Parekh, a key figure in the 2001 securities scam involving the Madhavpura Mercantile Cooperative Bank, to judicial custody for non-appearance in a case filed by the Securities.

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Brennan, 87, of Shavertown. After studying at the Wharton School in Philadelphia, he was a licensed stock broker and he went to work for the firm Butcher and Singer, eventually returning to the Wyoming Valley to manage their Wilkes.

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Jul 22, 2016. The Securities and Exchange Commission today announced it has won a court- ordered asset freeze to halt an ongoing fraud by two former brokers with. In an emergency action filed in federal court in Chattanooga, Tenn., the SEC alleges that James Hugh Brennan III and Douglas Albert Dyer sold.

In a recent interview, Jack Brennan, former CEO and current Chairman of The Vanguard Group. and whose message was that individual investors did not need high-priced fund managers and stock-pickers, and would be better served.

The other three suspects are Kanthana Siwathanapol, a 28-year-old close associate of Chuwong; Uracha Wachirakulton, a 27-year-old former broker at AEC.

New York stock broker Robert Brennan presented New Jersey officials Tuesday with a $180,000 check to pay for bullet-proof vests for state troopers.

writes: Broker. by a former employee of this firm.’ But he refused to go into details, telling me: ‘It is confidential between the client and ourselves.’ You thought otherwise, thank you, so I have the details anyway. An official of.

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Robert Emmet Brennan (born 1944) was an American businessman who built the infamous penny stock brokerage firm, First Jersey Securities. The firm specialized in promoting "Pump and dump" penny stocks to unsuspecting investors, many of them elderly, who lost their entire investments when the stocks inevitably.

RIVERSIDE COUNTY, CA — A former. in a stock issuance scam was sentenced Friday to 100 days in jail and three years probation. Frederick Donald Rollins,

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Pat has been a professional financial advisor with Capital Growth, Inc., an independent financial planning and investment management firm, since 1998. Pat's client base consists primarily of families and small business owners. His primary focus is on each client's personal investment strategy as well as their long term.

Feb 24, 2008  · News about Robert E. Brennan. A federal appellate panel has upheld the conviction and sentence of the penny-stock broker Robert E. Brennan, 58, a former.

Aug 07, 1986  · Announcement of Mr. Brennan’s resignation comes three weeks after Kenneth Valentine, a former First Jersey stockbroker, was convicted of one count of perjury for lying to a grand jury about a $1,000 contribution made to Jeffrey Bell’s unsuccessful 1982 campaign for a United States Senate seat in New Jersey.

Finra elects Vanguard’s John Brennan chairman to replace Richard Ketchum. Mr. Brennan, a former. He also responded to criticism that has been leveled by brokers.

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Fran Schneidau began her career as a stock broker on Wall Street before making the jump to radio and joining WCBS in 1978. CBS2’s Tony Aiello reports.

Jul 27, 2001. Since mid-1995, the Securities and Exchange Commission has been trying to collect a $75 million judgment it won against Mr. Brennan for defrauding investors of his brokerage firm, First Jersey Securities, which is defunct. He also owes the State of New Jersey $100 million for defrauding investors in.

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Confessions of a former stock broker. August 11, 2014, 07:55:00 AM EDT By Julian Close, Market Intelligence Center. Shutterstock photo. Beginning in the spring of.

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Robert Emmet Brennan (born 1944) was an American businessman who built the infamous penny stock brokerage firm, First Jersey Securities. The firm specialized in.

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Feb 24, 1997. "We told them what they wanted to hear," former broker Joseph McKinney testified. Wolf hooked up with Treats through Brennan, the former head of First Jersey, who had acquired a stake in the company in December 1991 and cut Dell and the rest of the brokerage in on the deal as the stock price was.

Why couldn’t Secretary Kerry help broker some kind of a peace deal. MILLER: And we just had the president say he has complete trust in John Brennan, head of the CIA, his former adviser. Just in the same way there wasn’t a.

Two former Chattanooga brokers are being investigated for fraud. James Hugh Brennan III and Douglas Albert Dyer are the owners of Broad Street Ventures, LLC.

Against all odds and common sense, they sometimes did just that. I worked for the sort of company typically called a chophouse or boiler-room brokerage. The company was frequently dissolved and reformed under a new name.

Jul 22, 2016. The U.S. Securities and Exchange Commission on Friday secured an asset freeze against two former brokers who the agency says defrauded investors. The commission claims that James Hugh Brennan III, 67, and Douglas Albert Dyer, 56, working through their company Broad Street Ventures LLC, sold.

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Jan 31, 2011  · N.J. judge to decide whether to reopen Robert Brennan’s bankruptcy. high-profile broker. Brennan was released Jan. 7 after. The former stock.

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MANILA, Philippines — A former stock broker who had defrauded clients was convicted for seven violations of securities laws, the first criminal conviction under the Securities Regulation Code. The regional trial court of Makati.

NEWARK, N.J.–Jun. 19–The former head trader at two discredited stock brokerages, including Robert E. Brennan’s First Jersey Securities Inc., was sentenced to three.

Donnelley & Sons Co. before becoming an investment sales broker in 1984. Tomasz CEO and Mr. Brennan chief operating officer. In 1998, Mr. Brennan was promoted to the top post after Mr. Tomasz resigned because the.