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Isaac LaFond Suspended by FINRA for Alleged Failure to Provide Information

Isaac LaFond (CRD #: 6707495), a broker formerly registered with Patrick Capital Markets, has been indefinitely suspended by FINRA, according to his BrokerCheck record, accessed on March 28, 2023. Read on if you want to know more about his alleged conduct as a broker.

FINRA Suspension

On January 24, 2023, Isaac LaFond received a Letter of Suspension alleging that he failed to respond to FINRA requests for information. His suspension began on February 17, 2023, and will continue until FINRA receives the requested information or the suspension converts to a bar.

FINRA Rule 9552

FINRA Rule 9552 penalizes members who fail to provide documents, information, or testimony requested by FINRA with a suspension. This suspension converts to a bar if the member fails to request an end to their suspension within three months.

Background Information

Isaac LaFond has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

He previously worked for the following firms:

  • Patrick Capital Markets (CRD#:16518)
  • IFP Securities (CRD#:297287)
  • Thrivent Investment Management (CRD#:18387)

Kurta Law Can Help

If you worked with Isaac LaFond and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want 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. 

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