Broker Brendan Shaw Allegedly Made Excessive, Unsuitable Trades Investor Alert! FINRA reports alarming information about Brendan Patrick Shaw [CRD#: 4721215, Scottsdale, Arizona]. Namely, Washington Securities Division sanctioned Shaw–a securities broker for Purshe Kaplan Sterling Investments (“PKS”) who also associated with Thomson Financial Advisors. Not only that, but at least 3 clients brought disputes about him. […]