Isaiah Marquez (CRD #7908923) Has an Employment Separation Disclosure

Isaiah Marquez (CRD #7908923) has been the subject of disclosure events reported on Isaiah Marquez’s FINRA BrokerCheck. According to Isaiah Marquez’s FINRA BrokerCheck report accessed on January 14, 2026, Isaiah Marquez has been the subject of one employment separation disclosure. If you invested with Isaiah Marquez and you have concerns about his activity, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Employment Separation After Allegations

According to BrokerCheck, Isaiah Marquez was discharged after allegations that he stated in a firm questionnaire that he did not reside with another registered representative when he did.

Rule summary #1: Form U5 filing requirements

FINRA requires member firms to file a Uniform Termination Notice for Securities Industry Registration (Form U5) when an individual leaves a firm. Form U5 must generally be filed within 30 days of the individual’s employment end date, and firms are expected to provide timely, complete, and accurate information.

FINRA source: Form U5 (FINRA) | Regulatory Notice 10-39 (FINRA)

Rule summary #2: FINRA Rule 1122 (Filing of Misleading Information)

FINRA Rule 1122 prohibits members and associated persons from filing information with FINRA that is incomplete or inaccurate so as to be misleading, and it also requires firms to correct filings once they become aware of inaccuracies. This rule is relevant whenever a disclosure turns on the accuracy of information submitted to FINRA.

FINRA source: FINRA Rule 1122

Why this matters to investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation designed to strengthen the standard of conduct that broker-dealers owe to retail investors when making recommendations about securities transactions or investment strategies. Adopted by the U.S. Securities and Exchange Commission and effective as of June 30, 2020, Reg BI aims to enhance investor protection while preserving investor access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in the best interest of the retail customer at the time a recommendation is made, and not to place their own financial or other interests ahead of the customer’s. This represents a higher standard than the historical “suitability” requirement, which only required that recommendations be suitable, not necessarily optimal or conflict-free.

Reg BI is built around four key obligations:

1. Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and recommendations, including fees, scope of services, and conflicts of interest.
2. Care Obligation – Recommendations must be made with reasonable diligence, care, and skill, considering costs, risks, and alternatives.
3. Conflict of Interest Obligation – Firms must identify, disclose, and mitigate or eliminate conflicts, particularly those that create incentives to favor one product over another.
4. Compliance Obligation – Firms must establish policies and procedures designed to ensure compliance with Reg BI as a whole.

Importantly, Reg BI applies at the recommendation level, not as a continuous duty like the fiduciary standard applicable to registered investment advisers. Still, it significantly narrows the gap by emphasizing cost considerations, conflict management, and investor-focused decision-making.

Overall, Regulation Best Interest seeks to promote transparency, improve the quality of investment recommendations, and reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background information (from BrokerCheck)

Based on his BrokerCheck Report, Isaiah Marquez reportedly:

• Is not currently registered with a brokerage firm.
• Has passed the qualification exams listed in his BrokerCheck report.
• Was previously registered with FINRA member firms, as reflected in his BrokerCheck report.

Kurta Law Can Help

If you have worked with Isaiah Marquez and you have concerns about your investments, please contact Kurta Law at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

Helpful resources: What is a U5? (Kurta Law) | Broker terminations (Kurta Law)

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