Howard Lawrence Isaacson Suspended from Securities Industry – Goodman & Nekvasil P.A, May Recover Your Investment Losses

Goodman & Nekvasil P.A, May Recover Your Investment Losses – Howard Lawrence Isaacson Suspended from Securities Industry

Howard Isaacson was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated from 2007-2013. Howard Isaacson was suspended from the securities and investment banking industry for over one-year by the Financial Industry Regulatory Authority (FINRA). FINRA reports that Howard Isaacson, pursuant to Article VI, Section 3 of FINRA by-laws, and FINRA Rule 9554, was suspended for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. Subsequent to this suspension, FINRA reports that the Florida Office of Financial Regulation placed a restriction on Howard Isaacson’s investment advisor registration.

FINRA also reports that a complaint was filed involving Howard Isaacson’s conduct with Merrill Lynch, Pierce, Fenner & Smith Incorporated arising out of the sale of an auction rate security (ARS). This complaint was settled for $825,000. 

If you lost any money on investments with Howard Isaacson you may be able to recover your losses from Merrill Lynch, Pierce, Fenner & Smith Incorporated. This is because Merrill Lynch, Pierce, Fenner & Smith Incorporated had a duty to supervise Howard Isaacson.

If you lost money on investments with Howard Isaacson and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Merrill Lynch, Pierce, Fenner & Smith Incorporated concerning Howard Isaacson’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on other investments with Howard Isaacson and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

 

Keywords: Howard Lawrence Isaacson, Howard Isaacson, Isaacson, FINRA, SEC, Merrill Lynch, Merrill Lynch, Investment, Securities, Securities Attorney, Attorney, Broker, Brokerage

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