Washington Broker Barred by FINRA For Misappropriation of Funds Resulting in a Felony Theft Conviction

FINRA lists the following on their website under “Disciplinary and Other FINRA Actions, August, 2013.”

Anthony David Brentin (CRD #5550765, Registered Principal, Longview, Washington)

was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Brentin consented to the described sanction and to the entry of findings that Brentin falsely led an individual to believe that she was giving him $5,000 as a contribution to support his city council campaign and to cover expenses such as the cost of campaign signs.

Instead, Brentin used the $5,000 that the individual had given him to satisfy a judgment and pay his back rent and utility bills. Brentin took advantage of this individual, who was susceptible to being manipulated based on her age and medical condition.

FINRA's findings stated that Brentin was charged with felony theft in his state based on his obtaining $5,000 from the individual by deceiving and taking advantage of the individual, who was deemed a vulnerable person under state law. Brentin was convicted and sentenced to six months incarceration.
(FINRA Case #2012031369201)

According to FINRA's BrokerCheck, Anthony David Brentin was previously registered with FINRA at the following brokerage firms:

PFS INVESTMENTS INC.
CRD# 10111
VANCOUVER, WA
10/2008 - 02/2012

FINRA's website information ended.

Soreide Law Group, PLLC, has represented clients nationwide. Call a Securities Arbitration Lawyer for a free consultation on how to potentially recover your losses at: 888-760-6552

FINRA lists the following on their website under “Disciplinary and Other FINRA Actions, August, 2013.”

Anthony David Brentin (CRD #5550765, Registered Principal, Longview, Washington)

was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Brentin consented to the described sanction and to the entry of findings that Brentin falsely led an individual to believe that she was giving him $5,000 as a contribution to support his city council campaign and to cover expenses such as the cost of campaign signs.

Instead, Brentin used the $5,000 that the individual had given him to satisfy a judgment and pay his back rent and utility bills. Brentin took advantage of this individual, who was susceptible to being manipulated based on her age and medical condition.

FINRA's findings stated that Brentin was charged with felony theft in his state based on his obtaining $5,000 from the individual by deceiving and taking advantage of the individual, who was deemed a vulnerable person under state law. Brentin was convicted and sentenced to six months incarceration.
(FINRA Case #2012031369201)

According to FINRA's BrokerCheck, Anthony David Brentin was previously registered with FINRA at the following brokerage firms:

PFS INVESTMENTS INC.
CRD# 10111
VANCOUVER, WA
10/2008 - 02/2012

FINRA's website information ended.

Soreide Law Group, PLLC, has represented clients nationwide. Call a Securities Arbitration Lawyer for a free consultation on how to potentially recover your losses at: 888-760-6552