June 16, 2025
FINRA Barred
ChapmanAlbin is investigating potential claims on behalf of investors who worked with former Merrill Lynch broker Isaiah Thomas Williams.
According to a recent FINRA enforcement action, Williams has been permanently barred from the securities industry after refusing to cooperate with FINRA’s investigation into serious allegations, including misappropriation of client funds, unsuitable asset allocation, misrepresentations, and improper outside business activities.
In June 2024, Merrill Lynch filed a Form U4 disclosing a customer complaint against Williams. A few months later, the firm reported his voluntary resignation while under internal review for the same concerns. In February 2025, FINRA formally requested information from Williams as part of its investigation. Williams acknowledged receiving the request but chose not to provide any of the required information—violating FINRA Rules 8210 and 2010.
As a result, FINRA issued a permanent bar, prohibiting Williams from associating with any FINRA member in any capacity.
If you were a client of Isaiah Thomas Williams and have concerns about unauthorized transactions, misrepresented investments, or potential misconduct, contact ChapmanAlbin. Our legal team is actively investigating claims and may be able to help you recover losses.
Call 1-877-410-8172 or visit chapmanalbin.com to schedule a free consultation.
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