Anthony Williams Subject of Florida Regulatory Actions

Anthony Williams (CRD #: 6363857), a broker registered with Northwestern Mutual Financial Services, has been involved in two state regulatory actions, according to his BrokerCheck record, accessed on March 7, 2023. If you want to know more about his alleged conduct as a broker, read on.

Florida Regulatory Actions

According to the Florida Department of Financial Services, Anthony Williams allegedly applied for a non-resident insurance license on April 6, 2022. The Department denied this application because it allegedly contained a misstatement concerning a criminal misdemeanor charge and because he was allegedly on conditional discharge for that misdemeanor at the time of his application. 

On November 29, 2022, the Department entered a Stipulation and Consent Order alleging that Anthony Williams violated the state’s one-year disqualifying period by re-applying on October 10, 2022. Anthony Williams consented to a fine of $1,500 and the Department approved his insurance license.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Making misstatements concerning criminal charges may violate this rule. 

Background Information

Anthony Williams has passed the following exams:

• Series 63 – Uniform Securities Agent State Law Examination
• Series 7TO – General Securities Representative Examination
• SIE – Securities Industry Essentials Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination

He is a registered broker in 19 states and the District of Columbia.

Kurta Law Can Help

If you worked with Anthony Williams and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.