A Look at Former Broker Isaiah Williams Jr.'s BrokerCheck
Former Broker Isaiah Williams Jr. (CRD # 6211219) most recently was registered at Merrill Lynch, Peirce, Fenner, and Smith Inc., in Boca Raton, Florida. Williams Jr, has three customer disputes, one regulatory dispute, and one termination reported on his BrokerCheck.
For example, one pending customer dispute alleges unsuitable recommendations, and failure to act in the client's best interest. The dispute alleges damages of $3,500,000.00.
The regulatory disclosure reports that Williams refused to provide information requested by FINRA in connection with its investigation of allegations made by his member firm in Form U4 and U5 filings. The findings stated that the firm had filed a U4 amendment disclosing a customer complaint that alleged Williams engaged in misrepresentation and improper outside business activities (OBAs). As a result, FINRA barred Williams from the securities industry.
The termination notice states that Williams was terminated in 2024 for misappropriation, unsuitable asset allocation, misrepresentation and improper outside business activities.
We are a Chicago-based law firm with a national practice, representing investors nationwide in seeking to recover their investment losses. The firm continues to investigate brokerage firms and brokers who have placed elderly investors, retirees and other conservative investors in unsuitable investments.
We receive the highest rankings as attorneys for quality work and ethics. We successfully have filed numerous cases against brokerage firms that sold high-risk investments, recovering more than $50 million on behalf of victimized investors. In those cases, we allege that the investment recommendations were unsuitable for our clients based on their financial situation, needs, and investment objectives.
We offer free case evaluations and handle matters on a contingency fee basis-meaning you pay no attorney's fees unless we recover compensation for you. If you have incurred investment losses with Isaiah Williams Jr. and would like a securities attorney to evaluate your case, please contact us.