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Isaiah Williams Allegedly Engaged in Misrepresentation

Isaiah Williams (CRD #: 6211219), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on July 23, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On May 22, 2024, an investor alleged that Isaiah Williams engaged in misrepresentation and improper outside business activity. 

Misrepresentation 

FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

FINRA Rule 3270 – Outside Business and Selling Away

FINRA Rule 3270 requires brokers to inform their firm of any outside business activities or any investments sold away from the firm. The brokerage firm may prohibit the activity if the firm believes the proposed activity may compromise the broker’s duties. Firms may also require brokers to seek approval of any outside business.

Background Information 

Isaiah Williams has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in 25 states and Puerto Rico. He is a registered investment adviser in Florida and Texas. 

During his seven years of experience, Isaiah Williams has registered with two firms: Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) and UBS Financial Services (CRD #: 8174). 

Kurta Law Can Help 

If you have worked with Isaiah Williams and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.