Isaiah Williams: FINRA Bars Ex-Merrill Lynch Advisor

Former Boca Raton financial advisor Isaiah Williams (CRD# 6211219) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Merrill Lynch, until his resignation in 2024.

A Letter of Acceptance, Waiver, and Consent (No. 2024082549801) describes FINRA’s disciplinary action against Mr. Williams. Filed in April 2025, it alleged that he refused to provide information requested by FINRA. As the Letter states, FINRA initiated the matter following Merrill Lynch’s disclosure of Mr. Williams’ resignation while under review for alleged misconduct. Mr. Williams allegedly indicated to FINRA via counsel that he would not provide the requested information. FINRA found that this refusal violated both FINRA Rules 8210 and 2010. As a result, it barred him from associating with any member firm in any capacity.

Mr. Williams’ BrokerCheck report discloses his resignation from Merrill Lynch. Filed in December 2024, it states that he voluntarily resigned from the firm in connection with allegations of “misappropriation, unsuitable asset allocation, misrepresentations and an improper outside business activity.”

A second disclosure on Mr. Williams’ BrokerCheck report concerns an investor complaint against him. Filed in Filed in December 2024, it also alleged misappropriation, unsuitable asset allocation, misrepresentations, and an improper outside business activity. The pending complaint alleges unspecified damages.

According to the Financial Industry Regulatory Authority, Isaiah Williams holds seven years of securities industry experience. Most recently based in Boca Raton, Florida, he was registered as a broker with Merrill Lynch from 2017 until 2025. He was previously registered with UBS Financial Services in Madison, Wisconsin in 2016. His credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; and the Uniform Combined State Law Examination, or Series 66. He is no longer licensed as a broker, having been barred by FINRA. (Information current as of April 12, 2025.)

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