FINRA Bars Timothy Williams

Soreide Law Group is investigating possible investor claims against securities broker Timothy Williams [CRD: 6341465, Tucson, Arizona]. Notably, FINRA sanctioned the securities broker, who worked for Edward Jones. Allegedly, Williams failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Williams.

Williams Barred By FINRA For Failure To Respond To FINRA

Specifically, on November 15, 2021, FINRA issued Case: 2020067985001, which contains sanctions against Timothy Williams for infractions. Namely, Williams was barred as a securities broker. Mainly, FINRA alleged that Williams failed to respond to FINRA’s request for information.

Timothy Williams Disclosed Misrepresentation Allegations By Edward Jones Client

Also, a client of Edward Jones contested Timothy Williams’ sales practices, according to a complaint. Allegedly, Williams made misrepresentations of material fact. Supposedly, the CD transactions resulted in damages. Therefore, Edward Jones opted to settle the matter on July 26, 2018, by compensating the client in the amount of $6,000.

Edward Jones Disaffiliates With Securities Broker For Failure To Comply With Internal Investigation

Particularly, on August 17, 2020, Edward Jones terminated the registration of Williams. Namely, Edward Jones alleged that Williams failed to comply with an internal investigation.

Did Edward Jones Securities Broker Timothy Williams Cause You To Experience Damages?

Did you sustain damages by investing with Timothy Williams? If so, get in touch with Soreide Law Group at (888) 760-6552 and consult with a securities lawyer about a possible recovery of your investment losses or other damages. Soreide Law Group, who has successfully recovered money for hundreds of investors in all 50 states, represents clients on a contingency fee basis and advances all costs. Williams and brokerage firms Williams worked for deny all allegations of sales practice violations.