John Marshall Williams Allegedly Recommended an Unsuitable Investment

John Williams (CRD #: 2833948), a broker registered with Dominari Securities, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on October 22, 2025. Keep reading if you have questions regarding his alleged conduct.

Investor Allegations

On August 28, 2025, an investor alleged that John Williams recommended an unsuitable investment.

What is an Unsuitable Investment?

FINRA Rule 2111 requires brokers to evaluate whether an investment fits their investor’s financial goals. Brokers must examine the investor’s profile, which contains the following investor characteristics:

• Age
• Financial goals
• Risk tolerance
• Time horizon (i.e., how long the investor plans to hold the investment)
• Investing experience
• Tax status

Investors who rely on brokers for recommendations may be able to recover their losses by pursuing FINRA arbitration.

Background Information

John Williams has passed the following exams:

• Series 14 Compliance Officer Examination
• Series 53 Municipal Securities Principal Examination
• Series 4 Registered Options Principal Examination
• Series 24 General Securities Principal Examination
• Series 52TO Municipal Securities Representative
• Series 99TO Operations Professional Examination
• Series 66 Uniform Combined State Law Examination
• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination
• Series 24 General Securities Representative Examination 

He is a registered investment adviser and a broker in New York. He is also a registered broker in Pennsylvania.

Since 2013, John Williams has registered with the following firms:

• Southeast Investments, N.C. (CRD #: 43035)
• Arive Capital Markets (CRD #: 8060)
• Alexander Capital L.P. (CRD #: 40077)
• Dominari Securities (CRD #: 18975)

Kurta Law Can Help

If you worked with John 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.