The securities fraud attorneys at Meyer Wilson are currently investigating claims against broker and investment adviser Kim D. Isaacson (CRD# 855618).
According to the Financial Industry Regulatory Authority (FINRA), Ameriprise Financial Services, Inc. broker and investment adviser Kim D. Isaacson (CRD# 855618) is the subject of a FINRA investigation.
The current investigation is for potential violations under FINRA Rule 2010, where he allegedly made verbal misrepresentations to a Firm customer about the customer’s account performance and values.
Isaacson, currently registered with Ameriprise Financial Services based out of Midvale, UT, voluntarily resigned from his position at Morgan Stanley Wealth Management in February 2014 after allegations surfaced that he verbally provided a client inaccurate information about the client’s account performance.
Later that same year, a customer dispute ended with the customers being awarded over $11 million. In the dispute, the allegations against Isaacson included breach of contract, breach of fiduciary duty, common law fraud, negligence and gross negligence, unauthorized trading, and violation of New York General Business Law 349(A).
He has one pending customer dispute, where he is alleged to have misrepresented equity investments in the customer’s account, and also allegedly provided inaccurate information about the account’s performance. FINRA does not list a requested damage amount on Isaacson’s publicly available BrokerCheck report.
If you lost money investing with Ameriprise Financial Services broker and investment adviser Kim Isaacson, contact Meyer Wilson today. Our securities fraud attorneys are ready to discuss your potential claim in a free case consultation. We handle all cases on a contingency fee basis. You won’t owe us any fees unless we recover money on your behalf.
