Marshall Owen Isaacson of Boca Raton Florida a stockbroker formerly registered with National Securities Corporation and Newbridge Securities Corporation is the subject of a customer initiated investment related arbitration claim where the customer requested unspecified damages based upon accusations that (1) contractual obligations had not been complied with by the stockbroker (2) fiduciary duties were breached and (3) the customer had been placed into mutual fund and over-the-counter equities investments which failed to be appropriate and which led the customer to experience losses. Financial Industry Regulatory Authority (FINRA) Arbitration No. 19-01098 (Apr. 29, 2019).
FINRA Public Disclosure reveals that Isaacson is referenced in three more customer initiated investment related disputes that concern allegations of his misconduct while he was associated with National Securities Corp and Newbridge Securities Corporation. Specifically, Isaacson is referenced in a customer initiated investment related arbitration claim which was resolved for $215,000.00 in damages supported by accusations that over-the-counter equities transactions effected by the stockbroker were unsuitable given the customer’s risk tolerance, investment objectives or overall circumstances; and equity trades were executed in the customer’s account without the customer’s permission. FINRA Arbitration No. 16-00627 (Oct. 5, 2017).
On August 14, 2017, another customer initiated investment related arbitration claim in regard to Isaacson’s activities was settled for $92,000.00 in damages founded on allegations of over-the-counter equities trades being wholly unsuitable for the customer. Isaacson is also the subject of a customer initiated investment related arbitration claim in which the customer sought $60,000.00 in damages based upon accusations that false or misleading statements had been made about alternative investments; fiduciary duties were violated; contractual obligations were breached; and the customer’s account had been handled with poor care by the stockbroker. FINRA Arbitration No. 19-01070 (Apr. 26, 2019).
Isaacson’s registration with National Securities Corporation was terminated on July 5, 2016. He was associated with Newbridge Securities Corporation between June 29, 2016 and May 22, 2019.
