International Assets Advisory, LLC – Regulatory Sanctions & Investigation

International Assets Advisory, LLC – Regulatory Review

The White Law Group is investigating the regulatory history of International Assets Advisory, LLC (CRD#: 10645/SEC#: 801-119029,8-27736), a FINRA-registered broker-dealer headquartered in Orlando, Florida (CRD#: 10645). The firm has faced multiple regulatory sanctions and has employed brokers with significant disclosure histories.

FINRA Sanctions Against International Assets

January 6, 2025 – Censure & Fine
FINRA censured International Assets and fined the firm $20,000 for failing to report certain equity transactions within the required time frames. The firm consented to the sanctions without admitting or denying the findings.

December 3, 2019 – Supervisory Failures in Non-Traditional ETFs
FINRA censured and fined International Assets $35,000 and ordered $196,213 in restitution plus interest for supervisory failures tied to non-traditional exchange-traded products. The firm consented without admitting or denying the findings.

These actions highlight ongoing supervisory and compliance deficiencies at International Assets.

Broker Misconduct at International Assets

William Conn (CRD#: 1477107)
Formerly registered with International Assets, Conn was suspended by FINRA in April 2025 and fined $15,000 for exercising discretion in customer accounts without authorization and for gifting $120,000 to a client in violation of firm policy. Conn has also been the subject of multiple customer disputes, with settlements exceeding $2.6 million.

Henry Arthur Taylor III (CRD#: 4641256)
Taylor, who was associated with International Assets from 2019 to 2023, has nine disclosures on his BrokerCheck record. These include a 2020 FINRA suspension for selling away, multiple customer complaints, and several tax liens totaling hundreds of thousands of dollars. His record raises serious red flags regarding compliance with industry rules.

Risks for Investors

When brokerage firms like International Assets fail to adequately supervise their financial advisors, investors may be exposed to:

• Unauthorized or unsuitable trading
• Misrepresentation of complex products
• Selling away or participation in unapproved investments
• Significant financial losses tied to supervisory failures

International Assets may be held liable for investor losses resulting from its brokers’ misconduct and regulatory violations.

FINRA Arbitration for Recovery

If you have suffered investment losses with International Assets or one of its brokers, you may be eligible to recover damages through FINRA Arbitration. The process allows investors to pursue claims directly against brokerage firms for failing to supervise their representatives.

National Securities Fraud Law Firm – The White Law Group

The White Law Group is a national securities fraud and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. With more than 30 years of experience and over 800 FINRA arbitration claims handled nationwide, our attorneys help investors recover losses from negligent brokerage firms and financial advisors.

If you believe you were a victim of misconduct involving International Assets Advisory, LLC, please call 888-637-5510 for a free consultation.

For more information, visit us online at www.whitesecuritieslaw.com.