MICHAEL JAMES WILLIAMS is currently employed as a Broker and/or Investment Adviser at CANTELLA & CO., INC. located at 524 MAIN STREET, SUITE 204, WOODLAND, CA, 95695.

MICHAEL JAMES WILLIAMS has worked at CANTELLA & CO., INC. since May 25, 2012

Disclosure History

MICHAEL JAMES WILLIAMS has 1 Disclosure Event(s).

Date: October 03, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

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