Isaiah Williams Barred by FINRA Following Termination

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 September 8, 2025. Keep reading if you have questions regarding his alleged conduct. 

Regulation Action 

On April 11, 2025, Isaiah Williams consented to the sanction and to the entry of findings that he refused to provide information requested by FINRA in connection with its investigation into allegations concerning alleged misrepresentation and improper outside business activities. His firm also filed a Form U5 revealing an investigation into Isaiah Williams’ alleged misappropriation, unsuitable asset allocation, and misrepresentation. 

Employment Separation After Allegations 

On December 16, 2024, Isaiah Williams voluntarily resigned from Merrill Lynch, Pierce, Fenner & Smith, following allegations including misappropriation and improper outside business activity. 

Investor Allegations 

According to allegations filed on July 8, 2025, Isaiah Williams failed to act in his best interest and recommended an unsuitable asset allocation strategy. The investor is seeking $3.5 million. 

On December 5, 2024, an investor alleged that Isaiah Williams embezzled millions from his Bank of America accounts to pay off two American Express cards that Williams controlled. He also allegedly transferred funds to a third party that the investor does not know. This dispute was settled for $9.5 million. 

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

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Misappropriation violates this rule. 

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.