According to recent Disciplinary Proceeding with the Financial Industry Regulatory Authority (FINRA), Kim Isaacson was accused of making fraudulent misrepresentations and omissions of material facts to a Morgan Stanley firm customer regarding his account values and Isaacson’s purchases and sales of securities in the client’s account. He allegedly effected more than 360 unauthorized trades in the client’s account including transactions the client had explicitly prohibited him from purchasing. Isaacson allegedly failed to discuss the trades with the client and concealed the unauthorized trades. Morgan Stanley can be held responsible for losses on a contingency fee basis in the FINRA arbitration forum. To find out how to sue Morgan Stanley, please call 312-332-4200 today to speak to one of our securities attorneys for free.
Isaacson was registered with North American Management, EF Hutton, Painewebber, Foster & Marshall, Shearson Lehman Brothers, Dain Rauscher, Piper Jaffray, UBS, and Morgan Stanley Inc. in Salt Lake City, Utah from December 2008 until June 2009 and Morgan Stanley in Salt Lake City from June 2009 until February 2014. She is currently registered with Ameriprise in Midvale, Utah and has been since February 2014. She has four customer disputes against her, one of which is currently pending.
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