Kevin Patrick Brennan (CRD # 3009014, Registered Principal, Garden City, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $15,000 and suspended from association with any FINRA member in any principal capacity for six months. In addition, he undertakes to cooperate with any and all FINRA investigations. Without admitting or denying the findings, Brennan consented to the described sanctions and to the entry of findings that he failed to reasonably supervise and respond to warning signs that registered representatives were conducting and operating a securities business from an unregistered branch office without supervision. The findings stated that the representatives improperly solicited potential customers by telephone in connection with the offer of securities, made false representations, including unwarranted price predictions, omitted material facts, and used misleading telemarketing scripts that a registered principal had not approved. The findings also stated that Brennan failed to timely amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose material information. The suspension is in effect from December 21, 2009, through June 20, 2010. (FINRA Case # 2007007358604)