Jonathan Spencer Williams and NYLife Securities
Have you lost money with financial advisor Jonathan Spencer Williams of Timonium, Maryland? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jonathan Williams. Williams was barred from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Williams after he was fired from his securities brokerage firm, NY Life Securities (NYLife). Williams was fired after bank records showed the documents were altered with misspellings and errors. His BrokerCheck report discloses that NY Life Securities was investigating him for possible commingling of customer funds.
Jonathan Spencer Williams was a financial advisor and registered representative of NYLife Securities from February 2006 to March 2015. He worked at a branch office in Timonium, Maryland.
Brokerage firms like NY Life Securities 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 Maryland and the greater Baltimore area. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond Jonathan, ProEquities, Securities America, National Securities Corp., and many others.
If you lost money with Jonathan Williams or NY Life Securities, please Contact Us at 720-599-3505 for a free evaluation of your case.
Click to view: Williams FINRA AWC
Click to view: Williams BrokerCheck 7.24.15