The following information is from FINRA’s December 2021 Disciplinary report:
Glenn Edward Brandon Jr (CRD #1051682, Birmingham, Alabama)
On October 15, 2021, an Acceptance, Waiver and Consent (AWC) was issued in which Glenn Edward Brandon Jr was barred from association with any FINRA member in all capacities.
Without admitting or denying FINRA’s findings, Glenn Edward Brandon Jr consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with its investigation into whether he allegedly engaged in outside business activities (OBAs) that were not disclosed to or approved by his member firm.
(FINRA Case #2021070227901)
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Glenn Edward Brandon Jr had been in the securities industry for 38 years and was listed with 6 firms. Brandon has 10 Disclosures on his FINRA CRD report, 7 are “Customer Disputes.”
There are two “Employment Separation After Allegations.” On September 25, 2015, Brandon, voluntarily resigned from MORGAN STANLEY, following, “Allegations made by firm relating to inappropriately high commission to equity ratios for specific set of clients.” Brandon denies all allegations. On January 13, 2021, Glenn E Brandon Jr was permitted to resign from BB&T Securities, LLC, following allegations of, “While conducting an internal review of client activity Mr. Brandon approached the firm to voluntarily resign.”
Brandon was previously listed with:
09/25/2015 - 02/02/2021 BB&T SECURITIES LLC - BIRMINGHAM, AL
06/01/2009 - 10/13/2015 MORGAN STANLEY - BIRMINGHAM, AL
If you’ve suffered investment losses due to the actions or recommendations of Glenn Edward Brandon Jr, formerly of BB&T and Morgan Stanley, both of Birmingham, Alabama, contact Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of you financial losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group works on a contingency fee basis and represent clients nationwide before FINRA.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: GREAT POINT CAPITAL, LLC, (GREAT POINT) and their former registered representative, SUSAN JANE GITT (SUSAN J GITT, SUSAN JANE SCHULTZ) (Respondents). The Claimants are retired and live in Florida. The lawsuit states that the Claimants were looking for conservative income-generating […]
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
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