Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2018 indicate that North Carolina-based Innovation Partners broker Michael Isaac has received several customer disputes and regulatory sanctions. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Isaac (CRD# 2287287).
Michael Isaac has spent 24 years in the securities industry and has been registered with Innovation Partners LLC in Charlotte, North Carolina since 2015. Previous registrations include Investors Capital in Shrewsbury, Massachusetts (2009-2015); Girard Securities in Shrewsbury, Massachusetts (2008); Jesup & Lamont Securities in Worcester, Massachusetts (2006-2008); MML Investors Services in Springfield, Massachusetts (2000-2006); Lincoln Financial Advisors Corporation in Fort Wayne, Indiana (1994-2000); the Lincoln National Life Insurance Company in Fort Wayne, Indiana (1994-2000); and Mutual of Omaha Investor Services in Omaha, Nebraska (1992-1994). He has passed two securities industry examination: TKTK. He is a registered broker with four US states: Arizona, California, Florida and Massachusetts.
According to his BrokerCheck report, Michael Isaac has received two regulatory sanctions and two customer complaints.
In January 2018 the Massachusetts Securities Division sanctioned him in connection to a prior FINRA action alleging he instructed a customer to sign at least nine different blank forms, which he then completed and submitted to his firm for processing. He was placed on heightened supervision by the Division.
In 2017 FINRA sanctioned him following allegations he instructed a client to sign blank documents and submitted these to the firm for processing, in violation of firm supervisory procedures. He was issued a 30-day suspension and a fine of $5,000.
In 2002 a customer alleged Michael Isaac, while employed at Lincoln Financial Advisors, made unsuitable investment recommendations. The complaint settled for $35,000.
In 1994 a customer alleged Michael Isaac, while employed at Mutual of Omaha Investor Services, provided incorrect advice. The complaint settled for more than $10,100.
If you or someone you know has complaints regarding Michael Isaac, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.