Did You Lose Money with Isaiah Williams, Former Merrill Lynch Broker in Boca Raton?

If you invested with Isaiah T. Williams, Jr., a former financial advisor at Merrill Lynch’s Boca Raton, Florida office, you may have been exposed to serious misconduct involving your retirement or investment funds. Recent actions by FINRA (the Financial Industry Regulatory Authority) have shed light on troubling allegations that led to Williams being barred from the securities industry.

Attorney David Neuman of Israels & Neuman, PLC, who is a Florida-licensed attorney, is currently investigating potential claims on behalf of investors who suffered financial losses due to the actions of Isaiah Williams and potentially, his former firm. Israels & Neuman, PLC represents investors in FINRA Arbitration nationwide and are committed to holding advisors and firms accountable for violations of trust and professional obligations.

Why Was Isaiah Williams Barred by FINRA?

In December 2024, Isaiah Williams was permitted to resign from Merrill Lynch following internal concerns involving:

– Misappropriation of client funds
– Unsuitable asset allocation
– Misrepresentations
– Undisclosed outside business activities

Following his resignation, FINRA launched an investigation, and Williams refused to cooperate—a violation of FINRA rules that led to a permanent bar from the securities industry.

What Is Misappropriation and Why Does It Matter?

Misappropriation refers to the improper use or theft of a client’s funds. This can involve transferring money without permission, using client assets for personal gain, or placing trades that benefit the advisor rather than the investor. Misappropriation is considered a breach of fiduciary duty and often gives rise to strong claims for recovery.

Understanding Misrepresentations in Financial Advising

Misrepresentations occur when a financial advisor provides false or misleading information to a client—either about the nature of an investment, the risks involved, or the advisor’s own qualifications or affiliations. Investors who are misled may agree to investments that are far riskier or less suitable than they were led to believe.

Customer Complaints Against Isaiah Williams

Public records show that at least two customer complaints were filed against Isaiah Williams, potentially connected to his conduct at Merrill Lynch. These complaints, combined with his resignation and refusal to cooperate with FINRA, may raise serious concerns for any clients who invested with him.

We Help Victims of Investment Fraud Recover Losses

If you invested with Isaiah Williams or any financial advisor who engaged in misappropriation, made unsuitable recommendations, or misled you about your investments, you may be entitled to compensation. Our firm has extensive experience with investor claims through FINRA arbitration.  FINRA Arbitration is the primary forum for resolving disputes between investors and brokers, although under certain circumstances, Courts can become involved too.

Attorney Dave Neuman is a founding partner at Israels & Neuman and is licensed to practice law in Florida. He regularly represents investors in FINRA Arbitration nationwide but can also provide Florida residents representation in Court should the need arise.   

View FINRA’s AWC Regarding Isaiah Williams
View BrokerCheck Report for Isaiah Williams

If you believe you were a victim of investment fraud by Isaiah Williams or Merrill Lynch, contact Israels & Neuman today for a free, confidential case evaluation at (720) 599-3505 or (206) 795-5798.