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FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2019062552401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062552401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Marshall Owen Isaacson, Respondent General Securities Representative CRD No. 1140370 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Marshall Owen Isaacson (Isaacson or Respondent) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
Marshall Owen Isaacson
07/20/2020