Investors potentially experienced sales practice violations due to securities broker Williams Keen Butcher (also known as Keen Butcher) [CRD: 2098675, Kemah, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Williams Butcher worked for Independent Financial Group LLC beginning May 3, 2022, and is currently registered with this firm. Previously, Butcher was associated with International Assets Investment Management LLC from January 12, 2016, to May 31, 2022, and International Assets Advisory LLC from April 20, 2015, to May 31, 2022. See the following information to find out more about the pending client dispute concerning this broker.
Particularly, on February 5, 2025, a client of International Assets Advisory LLC filed FINRA Arbitration No. 25-00244 about Williams Butcher. The client alleged that Butcher made unsuitable recommendations of bonds. Because of this, the client allegedly sustained damages on GWG L-bonds. Therefore, the client requested $100,000.00 in compensation from International Assets Advisory LLC or Butcher. Evidently, this arbitration is pending a resolution.
When a broker is accused of making unsuitable recommendations involving high-risk bonds, it typically means they advised the client to invest in products that did not match the client’s financial goals, risk tolerance, or investment profile. High-risk bonds, such as L-bonds, can be particularly volatile and are often not appropriate for conservative investors or those seeking stable, income-generating assets. Allegations like these raise concerns that the broker may have prioritized commissions or other interests over the best interests of the client.
Did you experience losses because of Williams Butcher? Feel free to contact Soreide Law Group online or at (888) 760-6552. Speak with a securities lawyer about a potential recovery of your investment losses. Soreide Law Group is experienced with recovering losses for clients located throughout the country. The firm takes cases on a contingency fee basis and advances all costs. Butcher and any securities broker dealers / investment advisories Butcher worked for deny accusations of sales practice violations.
PHILLIP CURTIS ANDERSON (PHILLIP C ANDERSON) was fined $10,000.00, ordered to pay disgorgement of $8,280.00, and was suspended for five months by FINRA. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, the “Regulatory” disclosure dated 5/13/2025 states the following: “Without admitting or denying the findings, Anderson consented to the sanctions and to […]
Soreide Law Group filed a FINRA arbitration on behalf of our client (Claimant) against: WESTERN INTERNATIONAL SECURITIES, INC. (WIS). (Respondent) The Claimant is in his late sixties and lives in California. On or about 2019, the Claimant was invited to a presentation on retirement income by a WESTERN INTERNATIONAL SECURITIES’ former broker. The lawsuit alleges […]
Investors apparently complained about securities broker Charles Kenneth Wareham [CRD: 2193537, Hartford, Connecticut], according to publicly available information on FINRA BrokerCheck. Evidently, Charles Wareham has been registered with Independent Financial Group LLC since March 14, 2014. Readers are encouraged to continue below for details about the disclosures involving Wareham. Independent Financial Group LLC Investor Accused […]
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