Broker Barred and Firm Expelled for Sales Practice Violations Relating to PCG Private Placements

Broker Barred and Firm Expelled for Sales Practice Violations Relating to PCG Private Placements

Thomas Brenner, a former securities agent of First American Securities, has been permanently barred from the securities brokerage industry after he refused to cooperate with a FINRA investigation into his involvement in the sale of three different private placements. The investigation was initiated after FINRA received tips or complaints from…