Investors potentially experienced sales practice violations by securities broker Roy Alvin Williams Sr. [CRD: 1069297, Stratford, Connecticut], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roy Williams worked for Center Street Securities Inc. from October 27, 2016, to August 7, 2023, and Center Street Advisors Inc. from March 6, 2017, to August 7, 2023, before joining KCD Financial Inc. on July 31, 2023. Investors are encouraged to continue reading to learn more about Roy Williams’s disclosures.
Specifically, on July 29, 2025, a Center Street Advisors Inc. client filed FINRA Arbitration No. 25-01552 about Roy Williams. Mainly, the client alleged that Williams made misrepresentations and made unsuitable recommendations. For this reason, the client allegedly sustained damages related to direct investments. As a result, the client requested $100,000 in compensation from Center Street Advisors Inc. or Williams. BrokerCheck shows that this arbitration is ongoing.
Evidently, a client of Center Street Securities Inc. contested Roy Williams’s sales practices by filing FINRA Arbitration No. 24-02338 on November 20, 2024. Allegedly, Williams breached a contract, was negligent, and made unsuitable recommendations. It appears that Williams allegedly caused the client to sustain damages connected to GWG L Bonds and real estate securities. Therefore, the client seeks compensation from Center Street Securities Inc. or Williams in the amount of $100,000 in this ongoing matter.
Particularly, a Center Street Securities Inc. client filed FINRA Arbitration No. 22-01258 about Roy Williams. Primarily, the client alleged that Williams gave unsuitable advice. Because of this, the client allegedly incurred damages linked to alternative investments. Consequently, on September 30, 2023, Center Street Securities Inc. settled this matter by paying the client $15,000 in damages.
Also, a client of Center Street Securities Inc. disputed Roy Williams’s sales practices by filing FINRA Arbitration No. 20-01632. Allegedly, Williams made unsuitable recommendations and failed to perform due diligence. It appears that Williams allegedly caused the client to sustain damages connected to alternative investments. As a result, Center Street Securities Inc. agreed to settle the matter on September 1, 2021, by compensating the client in the amount of $52,000.
Do you need clarification on any investment losses relating to Roy Williams? Contact Soreide Law Group at (888) 760-6552 or online and talk to a securities lawyer concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, our securities lawyers work on a contingency fee basis and advance all costs. Williams and brokerage firms Williams worked for deny accusations of sales practice violations.
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An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
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