Thomas Brenner—Private Placement Offerings
Thomas J. Brenner, Jr. was Allegedly Involved in the Sale of Three Different Private Placements issued by People or Entities Wherein Brenner Purportedly Held Personal or Business Relationships
Thomas J. Brenner, Jr., of Orville, Ohio and a broker with First American Securities, Inc. was allegedly involved in the sale of three different private placements issued by persons or entities wherein Brenner purportedly had personal or business relationships, according to a recent Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Jason Kane and James Booker.
Investors who believe they may have lost money in activity related to Thomas J. Brenner, Jr.’s alleged private placement offerings are encouraged to contact attorneys Jason Kane or James Booker with any useful information or for a free, no obligation discussion about their options.
The Peiffer Wolf Carr & Kane securities lawyers are currently investigating Thomas J. Brenner, Jr.’s alleged private placement offerings.
FINRA recently allegedly heard tips or complaints from multiple investors, people who invested in one or more of these private placements, and who were concerned about their alleged inability to contact the issuers, and the issuers’ alleged failure to liquidate or redeem their investments and return the funds to these investors, according to the aforementioned AWC.
Said investors were most often members of Brenner’s hometown community of Orville, Ohio, and many of said investors were senior citizens, the AWC states.
Thomas Brenner Barred by FINRA after Allegedly Refusing to Appear for FINRA On-the-record Testimony Regarding His Alleged Involvement in Three Different Private Placements
Thomas Brenner, on June 27, 2017, following a FINRA investigation over alleged private placement offerings, purportedly received a request from FINRA to provide on-the-record testimony pursuant to FINRA Rules, according to the aforementioned AWC currently under review by attorneys Jason Kane and James Booker.
Brenner, by allegedly refusing to appear for on-the-record testimony as requested pursuant to FINRA Rules, allegedly violated FINRA Rules, and hence has been barred by FINRA, the AWC notes.
Brenner reportedly became registered with First American Securities, inc. on December 6, 2011 as a general securities principal and general securities representative, and was the Firm’s CEO and President until June 22, 2016, when his registration was terminated, the AWC notes.
Brenner, on August 15, 2016, was suspended by FINRA for 16 months, a suspension which expires on December 14, 2017, according to the AWC.
One should also note that, according to the AWC, Thomas Brenner neither admitted nor denied the FINRA findings.
Securities Lawyers Investigating
The Peiffer Wolf Carr & Kane securities lawyers often represent investors who lose money as a result of investment fraud and are currently investigating Thomas J. Brenner, Jr.’s alleged private placement offerings. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.
Investors who believe they lost money as a result of Thomas J. Brenner, Jr.’s alleged private placement offerings may contact the securities lawyers at Peiffer Wolf Carr & Kane, Jason Kane or James Booker, for a free no-obligation evaluation of their recovery options, at (585) 310-5140 or via e-mail at firstname.lastname@example.org or email@example.com.