Securities Lawyers Blog
The securities lawyers of Gana Weinstein LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Kim Isaacson (Isaacson). According to BrokerCheck records Isaacson has been subject to at least four customer complaints, one employment termination, and one regulatory investigation. The customer complaints against Isaacson allege securities law violations that including unsuitable investments and misrepresentations among other claims.
In April 2016, FINRA opened an investigation for potential violations of industry rules for making verbal misrepresentations to a firm customer about the customer’s account values and performance.
In February 2016 a customer filed a complaint alleging unsuitable investments and misrepresentations with respect to equity investments in account and providing inaccurate information about the accounts performance from 2008 through 2014.