Written by The White Law Group• July 21, 2020• 4:49 pm• Blog, Current Investigations

Broker Marshall Isaacson, Newbridge Securities, Barred from the Securities Industry

Marshall Isaacson, Newbridge Securities, Barred from the Securities Industry

FINRA Reportedly Bars Advisor Marshall Isaacson after Allegations of Unsuitable Investment Recommendations

According to the Financial Industry Regulatory Authority (FINRA) on July 20, the regulator has reportedly barred financial advisor Marshall Isaacson from the securities industry. In connection with FINRA’s investigation into whether Isaacson made unsuitable investment recommendations, FINRA staff issued Isaacson a request for documents and information. Isaacson reportedly refused to provide the documents and information requested and consequently is barred.

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According to his broker profile, Isaacson was reportedly registered with Newbridge Securities in Boca Raton, FL from 2016 – 2019. Prior to that, he was reportedly registered with National Securities Corp. for nine years. His broker profile indicates that he reportedly has six customer complaints filed against him since 2016. Allegations include misrepresentation and suitability, among others.

Filing a Complaint against your Brokerage Firm

The White Law Group is investigating potential securities claims involving former financial advisor Marshall Isaacson and the liability that Isaacson’ employers may have for failure to properly supervise him.

When brokers violate securities laws, such as making unsuitable investment recommendations, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration.

Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee.