MAX D ISAACMAN

MAX D ISAACMAN is currently employed as a Broker and/or Investment Adviser at PORTSMOUTH FINANCIAL SERVICES located at 250 MONTGOMERY STREET, SUITE 200, SAN FRANCISCO, CA, 94104.

MAX D ISAACMAN has worked at PORTSMOUTH FINANCIAL SERVICES since February 14, 2017

Disclosure History

MAX D ISAACMAN has 2 Disclosure Event(s).

Date: September 30, 2013
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: April 01, 1987
Category: Customer Dispute
Allegations: LACK OF SUPERVISION RELATING TO ASSIGNINGACCOUNTS. FOUND FOR CUSTOMER $226,978.
Damage Amount Requested: $500,000.00 Damages Granted: $251,978.50
Broker Comment: COWEN & CO PAID FINDINGS.9-25-98

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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