Two Ex-Brokers Pocketed $5M in Client Funds

Two Ex-Brokers Pocketed $5M in Client Funds Posted on Wednesday, August 24, 2016 at 5:01 PM From the Desk of Jim Eccleston at Eccleston Law LLC: The SEC recently won a court order which froze the assets of two former brokers (James Hugh Brennan III, 67, and Douglas Albert Dyer, 56), who raised more than $5 million from clients and used the money for their own personal use.Read the full article