Isaiah Williams Jr. Barred after Allegations of Misappropriation
According to the Financial Industry Regulatory Authority (FINRA), financial advisor Isaiah Williams Jr. (CRD#: 6211219) has been barred from working as a broker as of April 11th, 2025.
On June 20, 2024, Williams’ employer Merrill Lynch reportedly 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.”
Merrill Lynch then reportedly 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,” on January 3, 2025.
FINRA BrokerCheck: Isaiah Williams Jr.
The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA.
According to his FINRA BrokerCheck report, Isaiah Williams Jr. has two customer complaints filed against him. Allegations include misappropriation, unsuitable asset allocation strategy, misrepresentations and an improper outside business activity, among others.
04/13/2017 – 01/03/2025 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BOCA RATON, FL
08/17/2016 – 10/14/2016 UBS FINANCIAL SERVICES INC. (CRD#:8174) MADISON, WI
Red Flags and Failure to Supervise
When financial advisors engage in unethical or fraudulent practices, such as misrepresenting investments, unauthorized trading, or misusing client funds they can be held responsible for investment losses. FINRA-registered broker-dealers have a duty to supervise their brokers to prevent such misconduct. If the firm fails to supervise its brokers properly, it can be held liable through FINRA arbitration.
Class Action Lawsuit vs. Individual FINRA Arbitration Lawsuit
You may wonder whether a large class action lawsuit is a better litigation option than an individual FINRA arbitration case. The answer depends on many factors, but typically if the loss sustained is large (say larger than $100,000), an individual arbitration claim is likely a better option. Class action lawsuits as a recovery option are more appropriate for grouping large numbers of individuals who have small claims – too small to generally pursue individually.
FINRA Lawsuits
If you have suffered investment losses with Isaiah Williams Jr. and Merrill Lynch, the securities attorneys at the White Law Group may be able to help you by filing a FINRA lawsuit. Please call our offices at (888) 637-5510 for a free consultation. We take cases in all 50 states including Florida.
National Securities Attorneys
The White Law Group, LLC is a national law firm in securities fraud, securities arbitration, investor protection, and securities regulation and compliance. With offices in Chicago, Illinois and Seattle, Washington, the firm is dedicated to assisting investors across all 50 states with claims against their brokerage firms. Since its founding in 2010, The White Law Group has handled over 800 FINRA arbitration cases.
Last modified: April 15, 2025
