August 2020- Boca Raton, FL
According to publicly available records, former Newbridge Securities Corporation, financial advisor Marshall Isaacson, is barred from FINRA and discloses 4 customer disputes.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In July of 2020 in FINRA case 2019062552401 Issacson was permanently barred from the securities industry to resolve allegations that he refused to provide documents and information requested by FINRA in connection with its investigation into whether he made unsuitable investment recommendations.
In April of 2019, a customer with Newbridge Securities Corporation, alleged that Isaacson committed negligence, breach of fiduciary duty, breach of contract and misrepresentation in connection with the handling of their account. The case was settled for $15,000.
In March of 2016 and May of 2019, four Newbridge Securities Corporation and National Securities Corporation customers alleged among other things: unauthorized trading, unsuitable investments, breach of fiduciary duty and breach of contract. These cases collectively settled for $333,000.
In September of 2012 and in September of 2016, the Internal Revenue Service filed Tax Liens against Isaacson in Palm Beach County, Florida collectively totaling about $75,000. These liens are currently outstanding.
Isaacson was employed by Newbridge Securities from June of 2016 until July of 2020. Before that time he was employed with National Securities Corporation.
If you have losses in an account handled by Marshall Isaacson, call to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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