Fidelity Brokerage Services Fires Isaac Johnson
Isaac Johnson (CRD #:7361840), a formerly registered broker, was recently fired by Fidelity Brokerage Services according to his BrokerCheck record, accessed on February 2, 2022.
On October 18, 2021, Fidelity Brokerage Services fired Isaac Johnson after allegedly interacting with a non-verified third party regarding a minimum required distribution scheduled from a customer account. The allegations further state Isaac Johnson inaccurately documented the interaction in the firm’s records.
Isaac Johnson Alleged Conduct Violates FINRA Rule 4511 and 2010
FINRA Rule 4511 requires each member to make and preserve books and records in conformity with Section 17(a) of the Exchange Act and Exchange Act Rule 17a-3. A registered representative who falsifies firm records causes the firm to maintain inaccurate books and records in violation of FINRA Rule 4511.
FINRA Rule 4511 applies to customer account information, communications between brokers and investors, as well as records of written customer complaints.
Causing a FINRA-regulated broker-dealer to make or preserve inaccurate records violates this rule and constitutes a violation of FINRA Rule 2010, which states that brokers must uphold high standards of commercial honor.
Isaac Johnson has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- Series 7TO – General Securities Representative Examination
- SIE – Securities Industry Essentials Examination
Besides Fidelity Brokerage Services, he has not worked with any other firm.
Kurta Law Can Help
If you have been victimized after working with Isaac Johnson, don’t hesitate to contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.