The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker Marshall Owen Isaacson (CRD#: 1140370, Boca Raton, Florida) contains new disclosures. Evidently, the securities broker worked for National Securities Corporation from August 2007 to July 2016, and Newbridge Securities Corporation from June 2016 to May 2019. Notably, six investors filed disputes about Isaacson. In addition, FINRA barred him as securities broker. Here’s more on these disclosures.
Evidently, a client of Newbridge Securities Corporation disputed Isaacson’s sales practices. First of all, the client alleged breach of fiduciary duty in connection with GPB alternative investments. Secondly, the securities firm supposedly acted in breach of contract. Moreover, the client alleges negligence in this ongoing dispute. For this reason, the client asked for $75,000 in damages.
Apparently, FINRA barred Isaacson as securities broker for failing to provide any information or documents in its investigation. It appears that the broker told FINRA in July 2020 that he would hand nothing over at any time. FINRA has terminated Isaacson’s ability to be a broker as of July 20, 2020, barring him from associating with FINRA member firms.
Particularly, the client took aim at Isaacson in a FINRA Arbitration Claim in January 2020. Supposedly, Isaacson misrepresented information in connection with real estate security transactions. Not only that, but the client alleged unsuitability. It seems that investments the broker sold potentially did not fit with the client’s investment profile. For this reason, the client seeks $100,000 to resolve this matter.
Evidently, a client of National Securities Corporation filed a lawsuit about Isaacson in April 2019. The allegations of suitability relate to over-the-counter equities and mutual fund transactions. Further, the client alleged that Isaacson violated his fiduciary responsibility to them. Because of this, National Securities Corporation opted to resolve this matter by paying the client $15,000. That investor’s dispute against Newbridge Securities Corporation alleged breach of fiduciary duty and breach of contract regarding an annuity. Evidently, the securities firm settled that matter as well.
Did Isaacson cause you to experience losses? If so, call Soreide Law Group at (888) 760-6552 and speak with a securities lawyer about a potential recovery of your losses. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The firm has recovered compensation for many United States investors who incurred losses because of their financial advisors and securities brokers. Please note that Isaacson denies all allegations of his sales practice violations.
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