William Isaacson of Boynton Beach, Florida is Facing a Suitability Dispute

William Isaacson (CRD #: 2418034), a broker registered with Peak Brokerage Services in Boynton Beach, Florida, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on December 6, 2023. Keep reading if you have questions. 

On September 20, 2023, an investor alleged that William Isaacson recommended an unsuitable investment. The investor is seeking $110,000. 

FINRA Rule 2111 

FINRA Rule 2111 requires brokers to evaluate whether an investment fits their investor’s financial goals.

Some common violations of this rule include:

• Excessive trading, which violates the need for quantitative suitability. This means that the number of trades must suit an investor’s goals. Excessive trading is also known as “churning.” 
• Recommendations of unsuitable investment strategies. For instance, overconcentration of securities in a certain stock or sector is typically unsuitable due to the degree of risk.
• Recommendations of high-risk or illiquid investments. These investments may lead to high fees for the investor.

Investors who rely on brokers for recommendations may be able to recover their losses by pursuing FINRA arbitration.

Background Information 

William Isaacson has passed the following exams: 

• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination
• Series 10 General Securities Sales Supervisor – General Module Examination 
• Series 9 General Securities Sales Supervisor – Options Module Examination 

He is a registered broker in nine states and is a registered investment adviser in Florida. 

Since 2007, William Isaacson has registered with the following firms: 

• Isaacson Investment Advisors (CRD #: 143488)
• Newbridge Securities Corporation (CRD #: 104065) 
• Newbridge Financial Services Group (CRD #: 130814) 
• Independent Financial Group (CRD #: 7717) 

Kurta Law Can Help 

If you have worked with William Isaacson and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com 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 that 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. Do not let securities fraud go unchecked. Start your recovery process today.