The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.”
David Scott Isolano (CRD #2504880, Registered Principal, Harrisburg, Pennsylvania)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Isolano consented to the described sanction and to the entry of findings that he failed to respond to a FINRA request to appear for on-the-record testimony concerning an investigation into fixed income transactions executed with excessive markups.
(FINRA Case #2009019803302)
This ends the information from FINRA’s website.
Securities Lawyer, Lars K. Soreide, of Soreide Law Group, represents clients nationwide before FINRA. If you or a loved one have sustained investment losses due to your stock broker or financial advisor’s recommendations, call for a free consultation on how to potentially recover your losses. To speak with an attorney call 888-760-6552, or visit our website at: https://www.securitieslawyer.com.
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