Ishmael Williams

06/17/2025: DEPARTMENT OF ENFORCEMENT, Complainant, v. ISHMAEL WILLIAMS (CRD No. 6128916), Respondent. Disciplinary Proceeding No. 2023079728601 Hearing Officer–MJD DEFAULT DECISION June 17, 2025 Respondent Ishmael Williams is barred from associating with any FINRA member firm in any capacity for providing false and misleading written responses and testimony during an investigation and for failing to respond to requests for information and documents, in violation of FINRA Rules 8210 and 2010. He also falsely certified to New York state insurance regulators that he had completed required continuing education courses, in violation of FINRA Rule 2010.

02/21/2025: The Department of Enforcement alleges: SUMMARY 1. In October 2022, Respondent Ishmael Williams, while registered with FINRA through an association with PFS Investments Inc. (CRD No. 10111), falsely certified to the State of New York that he had personally completed the continuing education (CE) required to renew his state insurance license when, in fact, another person had completed that CE on his behalf. As a result of the foregoing, Williams violated FINRA Rule 2010. 2. Also, in October 2023 and June 2024, Williams falsely stated that he had personally completed the CE courses and associated exams when, in fact, he had not. Further, in October 2024, Williams failed to provide information and documents requested pursuant to Rule 8210. As a result of the foregoing, Williams violated FINRA Rules 8210...

Reference 2023079728601data-portal.finra.orgdata-portal.finra.orgfinra.org