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Ishmael Williams Allegedly Failed to Respond to FINRA Rule 8210 Requests

Ishmael Williams (CRD #: 6128916), a broker formerly registered with PFS Investments, has been investigated by FINRA, according to his BrokerCheck record, accessed on February 11, 2025. Read on if you want to know more about his alleged conduct as a broker.

FINRA Investigation

On January 22, 2025, FINRA entered a preliminary determination to recommend disciplinary action against Ishmael Williams, alleging that he violated FINRA Rule 2010 by making a false certification to the State of New York.

FINRA further alleged that he failed to respond to requests for information and documents, and also provided false and misleading testimony and responses to these requests in violation of FINRA Rule 8210.

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. 

 

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