{"id":2871,"date":"2015-12-07T00:00:00","date_gmt":"2015-12-07T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/former-new-york-life-broker-jonathan-williams-barred-by-finra-as-a-result-of-outside-business-activities\/"},"modified":"2018-10-08T12:40:22","modified_gmt":"2018-10-08T16:40:22","slug":"former-new-york-life-broker-jonathan-williams-barred-by-finra-as-a-result-of-outside-business-activities","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/former-new-york-life-broker-jonathan-williams-barred-by-finra-as-a-result-of-outside-business-activities\/","title":{"rendered":"Former New York Life Broker, Jonathan Williams, Barred by FINRA as a Result of Outside Business Activities"},"content":{"rendered":"<\/p>\n

\"Former<\/p>\n

NY Life Securities LLC terminates broker, files U-5 with allegations of commingling client funds<\/h2>\n

FINRA recently brought enforcement action against Jonathan Williams that led to a bar from the securities industry. Williams was accused of failing to provide FINRA staff with documents and information requested by the agency in an investigation. The failure to provide these documents as well as other information to FINRA led to an automatic bar working in the industry at all, as brokers bear a responsibility to comply with ongoing investigations.<\/p>\n

The investigation in question had to do with claims about whether Williams had falsified bank account records or commingled client funds in a bank account that was ultimately under his control. This investigation stems from Williams’ termination from NY Life Securities LLC in March earlier this year. At that time, NY Life officially filed a termination notice with FINRA on form U-5 stating, that the firm discharged the broker in question as a result of allegations of commingling client funds.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

NY Life Securities LLC terminates broker, files U-5 with allegations of commingling client funds FINRA recently brought enforcement action against Jonathan Williams that led to a bar from the securities industry. Williams was accused of failing to provide FINRA staff with documents and information requested by the agency in an investigation. The failure to provide […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588],"tags":[260],"class_list":["post-2871","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","tag-barred-by-finra"],"yoast_head":"\nFormer New York Life Broker, Jonathan Williams, Barred by FINRA as a Result of Outside Business Activities — Securities Arbitration Lawyers Blog — December 7, 2015<\/title>\n<meta name=\"description\" content=\"Check out the new article Former New York Life Broker, Jonathan Williams, Barred by FINRA as a Result of Outside Business Activities on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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