WARNING! Investigation – LANDON WILLIAMS
Landon Williams, formerly of Merrill Lynch, Suspended Two Years by FINRA
Have you lost money with financial advisor Landon Williams of Jacksonville, Florida? We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Landon L. Williams. FINRA began investigating Landon Williams regarding allegations that he made false and misleading representations to customers in connection with the sales of securities during 2014, while he was affiliated with Merrill Lynch. In particular, it was alleged that Williams made misrepresentations about Blackrock mutual funds, Franklin Strategic Income Fund, the Franklin Income Fund, and the PIMCO Total Return Fund.
FINRA found that Landon Williams violated FINRA rules, fined him $10,000, and suspended him from the securities industry for two years.
Landon Williams was a financial advisor and registered representative of Merrill Lynch from August 2013 to August 2014. He worked at a branch office in Jacksonville, Florida. Williams was terminated by Merrill Lynch regarding allegations that he failed to make disclosures in connection with mutual fund sales.
Brokerage firms like Merrill Lynch have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida and throughout the Jacksonville area. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Merrill Lynch.
Click to view: Williams, Landon FINRA Order
Click to view: Williams, Landon FINRA Comp
Click to view: Williams, Landon BrokerCheck 5.17.17
If you lost money with Landon Williams or Merrill Lynch, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.