Cory Ryan Williams, Formerly Licensed with Taylor Capital Management Inc., Barred from Securities Industry by SEC – Goodman & Nekvasil P.A. May Recover Investor Losses
Securities and Exchange Commission Bars Cory Ryan Williams, Formerly Licensed with Taylor Capital Management, Inc.
The SEC found that from 2011 through October 30, 2015, Cory Ryan Williams was a registered representative with Taylor Capital Management Inc., a registered broker-dealer, and employed by Triumph Wealth Advisors, Inc., a registered investment adviser. Cory Ryan Williams was a principal of Williams Advisory Group, LLC, which was never registered with the Commission but which registered as an investment adviser with two States on June 19, 2015 and October 26, 2015, respectively, and which registrations remained in effect through December 2016. According to the SEC, Cory Williams is age 40 and resides in Gilbert, Arizona.
The SEC found that on September 27, 2017, Respondent pleaded guilty in United States v. Cory Ryan Williams, Case No. 2:17-cr-01279-DLR (D. Ariz.) to one count of transactional money laundering in violation of Title 18, United States Code, Section 1957(a) based on Cory Williams having “knowingly engaged in a monetary transaction conducted in the United States, involving a value greater than $10,000 and involving criminally derived property from a specified unlawful activity, that is Wire Fraud in violation of 18 U.S.C. § 1343 and Mail Fraud in violation of 18 U.S.C. § 1341.” The SEC found that the monetary transaction identified in the count pleaded guilty to was a $67,000 wire transfer to the church of which Cory Williams was a member that took place on December 24, 2015. The SEC found that on October 13, 2017, the presiding federal district court judge in the U.S. District Court for the District of Arizona accepted Cory Williams’ guilty plea. The SEC found that on August 10, 2018, the court accepted the plea agreement and entered a judgment finding that Cory Williams was guilty of violating 18 U.S.C. § 1957(a).
In connection with Cory Williams’ guilty plea, Cory Williams admitted that, from approximately March 2014 through November 2016, Cory Williams solicited family, friends, and members of Cory Williams’ church to give Cory Williams money for the purpose of his purchasing futures contracts on their behalf. Cory Williams told potential investors that they would participate in a pooled investment vehicle, and that he would place the trades through Cory Williams’ own personal account. In soliciting investors, Cory Williams fraudulently represented, among other things, that Cory Williams had achieved consistently positive returns over the preceding four years; that Cory Williams’ goal was to achieve a daily return of $250 on every $25,000 invested, and that a majority of the time Cory Williams had been successful in achieving that goal; and that investors could withdraw their money at any time. On obtaining the funds from individual investors, he made repeated representations to them that Cory Williams was trading on their behalf and that their investments were generating positive returns. Cory Williams also told certain investors that their principal was “safe.” According to the SEC, Cory Williams obtained over $13 million from at least 40 investors.
Investors with Cory Ryan Williams May Recover their Losses with Goodman & Nekvasil, P.A.
If you invested with Cory Williams, Goodman & Nekvasil, P.A. may help you. Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, has recovered more than $180 million dollars on behalf of victimized investors.
All our cases are handled on a purely contingency fee basis by Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA. Kalju Nekvasil, Esq. has practiced in this area of the law for more than 35 years.
There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
If you incurred investment losses with Cory Williams and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.