Investors potentially experienced losses due to securities broker Isaiah Thomas Williams Jr. [CRD: 6211219, Boca Raton, Florida], according to disclosures on FINRA BrokerCheck. It appears that Isaiah Williams worked for Merrill Lynch Pierce Fenner Smith Incorporated from April 13, 2017, to January 3, 2025. Keep reading to learn more about the disclosures involving this former securities broker.
Specifically on December 16, 2024, Merrill Lynch Pierce Fenner Smith Incorporated disaffiliated with Williams. Evidently, Merrill Lynch Pierce Fenner Smith Incorporated alleged that Williams misappropriated funds, made unsuitable asset allocation decisions, misrepresented material facts, and engaged in an improper outside business activity.
Particularly, on December 5, 2024, a Merrill Lynch Pierce Fenner Smith Incorporated client filed FINRA Arbitration No. 24-02575 about Isaiah Williams The client alleged that Williams misappropriated funds, made misrepresentations, recommended an unsuitable strategy, and engaged in undisclosed outside business activities. Because of this, the client allegedly sustained damages. As a result, the client requested damages in compensation from Merrill Lynch Pierce Fenner Smith Incorporated or Williams. Evidently, this arbitration is pending a resolution.
Also, on May 22, 2024, a Merrill Lynch client filed a complaint about Isaiah Williams The client alleged that Williams engaged in outside business activities from 2019 to 2024 and made misrepresentations. Because of this, the client allegedly sustained damages on mutual funds and variable annuities. However, the firm denied this complaint on July 22, 2024.
Do you have questions about investing through Isaiah Williams? If so, reach out to Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney. Soreide Law Group has recovered losses for investors throughout the country, works on a contingency fee basis, and advances all costs. Williams and brokerage firms Williams worked for deny accusations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
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