Tag Archives: Michael J. Isaac

Investors Capital Broker Suspended By Regulator

September 22, 2017  |   Posted by :   |   Failure To Supervise   |   0 Comments

Michael J. Isaac, of Shrewsbury, Massachusetts, a registered representative associated with Investors Capital Corp., has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he caused a customer to provide him signed forms that were undated and blank, inaccurately conveying […]

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Investors Capital Broker Suspended By Regulator

June 19, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Michael J. Isaac, of Shrewsbury, Massachusetts, a registered representative formerly registered with Investors Capital Corp., has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he directed a firm customer to provide him with blank and undated forms after they […]

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