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.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

Questions or comments regarding the source or accuracy of any information, including any subsequent developments, should be directed to:  [email protected]

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer.

Guiliano Law Group, P.C.

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitration.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com

Stockbroker Fraud. Securities Arbitration and Investment Fraud Lawyers.  
National Practice. Contingent Fee. Confidential Free Consultation.

 (877) SEC-ATTY

1700 Market Street, Suite 1005
Philadelphia, PA 19103
Direct: (215) 413-8223
Toll Free: (877) 732-2889

1260 South Soto Street, Suite 7
Los Angeles, California 90023
Direct: (213) 255-3475
Toll Free: (877) 732-2889

2750 NE 185th Street, Suite 302
Aventura, Florida 33180-2877
Direct: (786) 490-2413
Toll Free: (877) 732-2889

See Important Disclaimer

Tags: , ,

No comments yet.

Leave a Reply

Name (required)

Email (will not be published) (required)

Website