Landon Williams – Alleged False and Misleading Statements to Customers

Landon L. Williams – Alleged False and Misleading Statements to Customers and/or Allegedly Failed to Disclose Material Information about Securities Transactions that he was Purportedly Recommending to Customers

Landon Williams, between March 5, 2014 and July 23, 2014, allegedly participated in telephone conversations with customers wherein he made false and misleading statements to customers and also purportedly and/or failed to disclose material information about securities transactions that he was recommending to the customers, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.

Peiffer Rosca Wolf securities practice lawyers are investigating Landon Williams’ alleged false and misleading statements to customers.

Investors who believe they may have lost money in activity related to Landon Williams’ alleged false and misleading statements to customers are encouraged to contact attorneys Alan Rosca or James Booker with any useful information or for a free, no obligation discussion about their options.

What is more, in addition to the alleged connection with each telephone conversation, Landon Williams, as required by his member firm’s policies and procedures, allegedly electronically entered notes in the firm’s Team Track software application describing his discussion with, and disclosures made to the aforementioned customer, the Complaint reports.

Williams, in his Team Track entries, allegedly made false statements about what he discussed with and disclosed to the customer, the Complaint states.

Landon L. Williams Allegedly Suspended and Fined $10,000 by FINRA

Williams, by allegedly entering false information in Team Track, purportedly caused his member firm’s books and records to be inaccurate, and in doing so, allegedly violated FINRA Rules, the Complaint reports.

Hence, Williams has been fined $10,000 by FINRA and suspended for two years from s ordered that Respondent be fined $10,000 and suspended for two years from association with any FINRA member firm in all capacitates, the Complaint states.

Landon Williams, from July 8, 2013 until August 6, 2014, was employed by Merrill Lynch as a Financial Solutions Advisor (FSA) in the firm’s Merrill Edge Advisory Center business unit, the Complaint reports.

Landon Williams, between March 5, 2014 and July 23, 2014, allegedly participated in telephone conversations with five separate Merrill Lynch customers — specifically, people known as ASA, RLC, GDC, JLM, and RBS, the Complaint states.

During the telephone conversations with ASA, RLC, GDC, JLM, and RBS, respectively, Williams allegedly made false and/or misleading statements, and/or failed to disclose material information about securities transactions that he was recommending, the Complaint notes.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Landon Williams’ alleged false and misleading statements 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 Williams’ alleged false and misleading statements 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 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

Alan Rosca (1225 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.