Isaiah Thomas Williams Jr., formerly associated with Merrill Lynch Pierce Fenner Smith Incorporated in Boca Raton, Florida, has been referenced in two customer disputes.
Financial Industry Regulatory Authority (FINRA) Public Disclosure shows a customer initiated investment related FINRA securities arbitration claim was filed on December 5, 2024, under FINRA Arbitration No. 24-02575. The allegations include misappropriation, unsuitable investment recommendations, misrepresentation of material fact, and an outside business activity.
Previously, a customer initiated investment related complaint filed on May 22, 2024, alleged misrepresentation of material facts and improper outside business activities from March 1, 2019, to May 22, 2024. This claim was denied, and no damages were awarded.
On December 16, 2024, Williams voluntarily resigned from Merrill Lynch following allegations of sales practice violations, including misrepresentations, unsuitable trading, and misappropriation of customer funds.
