National investment loss lawyers KlaymanToskes is investigating barred broker Isaiah Williams (CRD# 6211219) formerly of Merrill Lynch.
According to FINRA BrokerCheck, broker Isaiah Williams was barred from association with any Financial Industry Regulatory Authority (“FINRA”) member in all capacities in April 2025. Williams allegedly refused to provide information requested by FINRA in connection with its investigation of allegations made by his member firm, Merrill Lynch, in Form U4 and U5 filings, which stated that the firm had filed a U4 amendment disclosing a customer complaint that alleged Williams engaged in misrepresentation and improper OBAs (Outside Business Activities).
Investors that suffered losses with broker Isaiah Williams are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Financial advisor Isaiah Williams, formerly of Merrill Lynch, has been permanantly barred by the Financial Industry Regulatory Authority (“FINRA”). Williams allegedly refused to provide information in response to a FINRA Rule 8210 request sent on February 12, 2025. Therefore, Williams violated FINRA Rule 8210 and 2010.
On June 20, 2024, Merrill Lynch filed a Uniform Application for Securities Industry Registration or Transfer (Form U4) amendment, disclosing a customer complaint alleging that Williams engaged in “misrepresentation and improper outside business activity.” On January 3, 2025, Merrill Lynch filed a Uniform Termination Notice for Securities Industry Registration (Form U5) stating that Williams voluntarily resigned while under internal review into “allegations of misappropriation, unsuitable asset allocation, misrepresentations, and an improper business activity.” Broker Isaiah Williams was registered with Merrill Lynch from April 2017 to January 2025 in Boca Raton, FL.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Isaiah Williams, or have concerns regarding your investment portfolio at Merrill Lynch, or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.