Last Updated: September 2025 — Royal Palm Beach, FL
Here’s what you need to know about Royal Palm Beach, FL, former stockbroker Isaiah Thomas Williams Jr.:
- Name: Isaiah Thomas “Isaiah T.” Williams Jr.
- Alias: Isaiah Williams
- Current Employer: Barred from acting as a broker by FINRA.
- Prior Firms: Merrill Lynch, Pierce, Fenner & Smith Incorporated (04/2017–01/2025; Boca Raton, FL); Bascom Hill Wealth LLC -Managing Director/Chief Executive Officer , Royal Palm Beach, FL. UBS Financial Services Inc. (08/2016–10/2016; Madison, WI).
- CRD number: 6211219.
- Stockbroker / Financial Advisor: Former — not currently registered as a broker; previously passed SIE (10/01/2018), Series 7 (08/17/2016) and Series 66 (05/03/2017).
- Can Broker be Sued in FINRA: Yes
- Sanctioned by Securities Regulators: Yes
- Employment Separation after Allegations: Yes
- Highest Settlement or Award: $9,500,000
- Current Customer Dispute Seeks Total Damages of: $3,500,000
If you’ve sustained damages from Mr. Williams, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Isaiah Williams As Your Stockbroker?
In 8/2025 a customer of Merrill Lynch was paid $9.5 million to resolve allegations of misappropriation, unsuitable asset allocation strategy, misrepresentations and an improper business activity vs. Williams.
Pending FINRA Arbitration (Case No. 25-01386): Filed July 2025 alleging Williams failed to act in the client’s best interest and recommended an unsuitable asset-allocation strategy at Merrill Lynch; claimed damages: $3,500,000.
Related Regulatory Action: On 04/11/2025, FINRA entered an AWC permanently barring Williams in all capacities after he refused to provide information FINRA requested in connection with firm-reported allegations of misappropriation, unsuitable asset allocation, misrepresentations and improper business activity. (Form U4/U5).
Upon discovery of these customer complaints Williams voluntarily resigned from Merrill Lynch in /2024.
Allegations of Broker Misconduct Against Isaiah Thomas Williams Jr.
- Unsuitable recommendations/asset allocation — FINRA Rule 2111 (Suitability) requires a reasonable basis for recommendations consistent with the customer’s risk tolerance and objectives.
- Failure to act in a retail customer’s best interest — SEC Regulation Best Interest (Reg BI, Rule 15l-1(a)applies to broker recommendations made since June 30, 2020 and requires acting in the customer’s best interest.
- Misrepresentation/omissions — Conduct that can violate FINRA Rule 2020 and Rule 2010 (standards of commercial honor).
- Improper Outside Business Activity (OBA) — Brokers must provide prior written notice to their firm under FINRA Rule 3270. (Raised in firm filings and customer allegations.)
- Misappropriation
Recover Your Investment Losses Now With Rex Securities Law
See this for our prior investigations of Merrill Lynch brokers.
If you have suffered investment losses in an account handled by Isaiah Thomas Williams Jr., contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.