Ishmael Williams Subject of FINRA Complaint

Ishmael Williams (CRD #: 6128916), a broker formerly registered with PFS Investments, has been named in a FINRA complaint, according to his BrokerCheck record, accessed on March 30, 2025. Read on if you want to know more about his alleged conduct as a broker.

FINRA Complaint

On February 21, 2025, FINRA filed a complaint alleging that Ishmael Williams falsely certified to the State of New York that he had personally completed the required continuing education (CE) in order to renew his state insurance license in October 2022.

According to the complaint, another individual allegedly used Ishmael Williams’ online account with his CE course provider to complete his continuing education courses and exams on his behalf.

FINRA further alleged that Ishmael Williams falsely claimed in October 2023 and June 2024 that he had personally completed his continuing education courses and related exams and, in October 2024, failed to provide information and documents requested by FINRA.

The complaint alleged that Ishmael Williams violated FINRA Rules 2010 and 8210. This complaint is currently pending; you can access it here.

FINRA Rule 2010

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

FINRA Rule 8210

FINRA Rule 8210 requires members to supply records, information, and testimony upon request by FINRA.

Termination from PFS Investments

On October 23, 2024, Ishmael Williams was fired from PFS Investments after allegedly failing to respond to a FINRA Rule 8210 request or to firm attempts to contact him about that request.

Background Information

Ishmael Williams has passed the following exams:

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

He previously worked for PFS Investments (CRD#:10111).

Kurta Law Can Help

If you worked with Ishmael 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 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.