Sean Brennan is the Subject of an Investor Dispute
Sean Brennan (CRD #: 2915933), a broker registered with Morgan Stanley, is facing an investor dispute. This disclosure appears in his BrokerCheck record, accessed on August 11, 2023. Keep reading for more information.
On July 5, 2023, an investor alleged that Sean Brennan implemented an investment strategy in their account that was not in their best interest. The alleged activity took place from 2021 to 2023.
What is Regulation Best Interest?
Regulation Best Interest expanded on the requirements of FINRA Rule 2111, which defines suitable investment recommendations. In addition to limiting their recommendations to investments that suit their investors’ needs, brokerage firms must also uphold a Duty of Care, the Conflict of Interest Obligation, and the Disclosure Obligation. These obligations and duties require brokerage firms to disclose conflicts of interest and, prior to recommending a security, research the market to ascertain if there are investments that could offer similar benefits at a lower cost.
Sean Brennan has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
He is a registered broker in 25 states and is a registered investment adviser in New Jersey and Texas.
Sean Brennan has registered with the following firms:
- Morgan Stanley (CRD #: 149777)
- Morgan Stanley & Co. Incorporated (CRD #: 8209)
- Morgan Stanley DW Inc. (CRD #: 7556)
Kurta Law Can Help
If you worked with Sean Brennan and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.