Stephen Robert Williams – Financial Advisor/Broker Stephen Robert Williams Barred from Securities Industry
Stephen Robert Williams was a formerly licensed financial advisor with LPL Financial LLC. According to FINRA, Stephen Robert Williams was barred from the securities industry in November 2018.
According to FINRA:
Stephen Robert Williams failed to respond to FINRA request for information.
According to Stephen Robert Williams’ CRD:
Stephen Robert Williams was discharged from LPL Financial LLC in October 2017. LPL Financial LLC reported that Stephen Robert Williams allegedly exercised discretion without written authorization, in violation of Firm policy.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Stephen Robert Williams and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Stephen Robert Williams’ conduct. 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.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Stephen Robert 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.
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