Kenneth Williams is a New York-based securities broker. He has worked in the securities industry for twenty-three years. During his career, he has been registered with twenty-seven different securities firms.
His registrations include; Emanuel and Company (1993-1994), Berkeley Securities Corporation (1994-1995), Commonwealth Associates (1995), Kensington Wells Incorporated (1995), Meyers Pollock Robbins, Inc. (1995), W.J. Nolan & Company (1995), Sharpe Capital, Inc. (1995-1996), A.R. Baron & Co. (1996), LT Lawrence & Co. (1996), VTR Capital (1996-1997), IAR Securities Corp. (1997-1998), GKN Securities Corp. (1998-2000), Investec Ernst & Company (2000-2001), Joseph Stevens & Company (2001-2002), Sterling Financial Investment Group (2002), Legend Merchant Group (2002-2007, 2010-2012), Garden State Securities (2008), Spartan Capital Securities (2008-2010), John Thomas Financial (2010, 2012), International Assets Advisory (2012), PHX Financial (2012-2014), Blackbook Capital (2015), First Standard Financial Company (2015-2017, 2018-2019), Westpark Capital (2017), J.H. Darbie & Co. (2017), Fordham Financial Management (2017-2018), and Paulson Investment Company (2019-Present).
Kenneth Williams’ publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career.
In December 2009, a customer alleged misrepresentation, breach of fiduciary duty, and omissions of material fact. This case was settled for $90,000 in damages.
In January 2017, a customer alleged unauthorized trading and unauthorized use of margin trading.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Kenneth Williams, please contact Oakes & Fosher for a free and private consultation.