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
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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