Landon L. Williams— False and Misleading Statements to Customers and Material Omissions

Rochester stockbroker fraud attorneyLandon L. Williams Allegedly Recommended Certain Securities Transactions and Made False and Misleading Statements, and/or Omitted Material Information Regarding Said Securities

Landon L. Williams allegedly participated in a telephone conversation with five separate customers wherein he recommended certain securities transactions, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.

Said Complaint also notes that Williams also made false and misleading statements to customers and also omitted material information about the aforementioned securities.

The Peiffer Rosca Wolf securities lawyers are currently investigating KCD Financial’s alleged sale of unregistered securities.

Landon L. Williams Entered “Notes” in His Merrill Lynch Customer Relationship Management Application, Allegedly Providing False and Misleading Information Concerning Discussions and Disclosures to Customers

Landon L. Williams allegedly entered “notes” in his Merrill Lynch customer relationship management application wherein he detailed his discussions with each customer and the purported reasons he supported his recommendations, according to the aforementioned Complaint being examined by attorneys Alan Rosca and James Booker.

The aforementioned notes also allegedly provided false and misleading information concerning Williams’ discussions with each customer and disclosures made to said customer, the Complaint notes.

Based on the aforementioned conduct, Williams allegedly violated FINRA Rules and tenants of the Exchange Act, the Complaint also reports.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged unsuitable recommendations to customers and are currently investigating Landon L. Williams’ alleged unsuitable recommendations to customers. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Landon L. Williams’ alleged unsuitable recommendations to customers may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1123 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.