Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mcisaac (Mcisaac), previously associated with Crown Capital Securities, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Mcisaac recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $125,000.00 on August 19, 2021.
The customer alleges unsuitable recommendations, misrepresentations, and breach of fiduciary duty as it relates to their purchase of alternative investments.