ANTHONY EDWARD WILLIAMS is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at CAPITAL CENTRE, 750 4TH AVE., FIRST FLOOR, HUNTINGTON, WV, 25701.
ANTHONY EDWARD WILLIAMS has worked at RAYMOND JAMES & ASSOCIATES, INC. since December 07, 2012
Disclosure History
ANTHONY EDWARD WILLIAMS has 3 Disclosure Event(s).
Date: March 01, 1994 Category: Regulatory Initiated By: NEW YORK STOCK EXCHANGE Allegations: ACCORDING TO THE NEW YORK STOCK EXCHANGE,INC., MR. WILLIAMS "EXERCISED DISCRETION WITHOUT PRIOR WRITTENAUTHORIZATION OF THE CUSTOMER IN THE ACCOUNT OF PHYLLIS J.YOUNG ON ONE OR MORE OCCASIONS DURING THE PERIOD DECEMBER 1998THROUGH JULY 1992. Resolution: Decision SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $500.00 Sanction Details: MR. WILLIAMS WAS FINED $500.00 Broker Comment: ACCORDING TO THE NEW YORK STOCK EXCHANGE INC.,MR. WILLIAMS "EXERCISED DISCRETION WITHOUT THE PRIOR WRITTENAUTHORIZATION OF THE CUSTOMER IN THE ACCOUNT OF PHYLLIS J.YOUNG ON ONE OR MORE OCCASIONS DURING THE THE PERIOD DECEMBER1988 THROUGH JULY 1992.
Date: May 21, 1993 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT FC MADE UNAUTHORIZEDTRADES IN HER ACCOUNT. SHE CLAIMED $25,000.00 IN DAMAGES Damage Amount Requested: $25,000.00 Settlement Amount: $18,000.00 Broker Comment: SETTLED FOR $18,000.00.THE MATTER WAS SETTLED TO AVOID THE EXPENSES ANDUNCERTAINTY OF LITIGATION.
Date: November 03, 1992 Category: Customer Dispute Allegations: CLAIMANTS CLAIM THAT I MISREPRESENTED TO THEMTHAT AN INVESTMENT IN THE CORPORATE INCOME FUNDS 9UIT) WOULD BEWITHOUT RISK. THEY CLAIM LOSSES OF $38,199.23 AND THAT THEYWOULD NOT LOOSE SLEEP OVER THIS INVESTMENT. Damage Amount Requested: $38,199.23 Settlement Amount: $14,500.00 Broker Comment: SETTLED FOR $14,500.00THE ALLEGATIONS ARE DENIED. MERRILL LYNCHSETTLED THE MATTER TO AVOID THE EXPENSES AND UNCERTAINTY OFLITIGATION.
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