Brandon M. Williams of Madison Wisconsin a stockbroker formerly registered with BMO Harris Financial Advisors Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to respond to FINRA’s request for Williams’ information. Case No. 2017055123601 (Nov. 22, 2017).
On November 22, 2017, Williams was reportedly provided a Notice of Suspension under FINRA Rule 9552(h), which informed him that his suspension would go into effect on December 18, 2017. Apparently, Williams was informed that his suspension would convert into an automatic bar from the securities industry unless he met the terms for his suspension to be lifted by February 25, 2018. Williams apparently failed to cooperate with FINRA’s requirements by then.
FINRA Public Disclosure additionally confirms that on July 14, 2017, Williams was discharged by BMO Harris Financial Advisors, Inc. affiliate, BMO Harris Bank, in Madison Wisconsin founded on accusations Williams failed to provide the firm with information concerning his outside business activities. In addition, the firm stated that Williams failed to make required regulatory disclosures.
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