Investors possibly experienced losses because of securities broker William David Isaacson [CRD: 2418034, Boynton Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, William Isaacson worked for Peak Brokerage Services LLC from September 11, 2020, to December 31, 2023, and Independent Financial Group LLC from May 29, 2013, to September 11, 2020. Here’s more about the securities broker’s disclosures.
Particularly, on September 20, 2023, a Peak Brokerage Services client filed FINRA Arbitration No. 23-02527 about William Isaacson. Supposedly, Isaacson made unsuitable recommendations. Because of this, the client allegedly sustained damages on non-traded real estate investment trusts. Therefore, the client requested $110,000 in compensation from Peak Brokerage Services or Isaacson. Evidently, this arbitration is pending a resolution.
Also, a client of Independent Financial Group contested William Isaacson’s sales practices by filing FINRA Arbitration No. 20-01666. Allegedly, Isaacson made unsuitable recommendations. It appears that Isaacson caused the client to sustain damages on direct investments. Therefore, Independent Financial Group opted to settle the matter on December 3, 2021, by compensating the client in the amount of $10,000.
Did you experience losses because of William Isaacson? If so, get in touch with Soreide Law Group online or at (888) 760-6552 so you can talk to a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Isaacson and brokerage firms Isaacson worked for deny accusations of sales practice violations. Contact Soreide Law Group.
Investors might have sustained financial harm through WestPark Capital Inc. [CRD: 39914, Los Angeles, California], according to publicly available information found on Financial Industry Regulatory Authority BrokerCheck. WestPark Capital has been registered with FINRA since 1996 and maintains its headquarters in Los Angeles, California. Keep reading to discover more about the regulatory action involving the […]
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com