Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Isaacson (Isaacson), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Isaacson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 27, 2024.
Customer verbally complained that she did not wish to have individual stocks sold, causing taxes on capital gains, when she incepted into a managed account program. (4/23/2023-3/27/2024)