Stoltmann Law Offices is investigating Cory D. Williams, who entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). Williams is accused of allegedly participating in at least 125 private securities transactions without providing written notice to his firm, Signator Investors. During the period of May 2004 and Januarey 2012, Williams sold securities in Colonial Tidewater Realty Income Partners, garnering $94,000 in commissions. This is against securities rules and regulations. He is accused of allegedly authorizing wire transfers of funds from customer accounts at the firm to Colonial and manually adding outside holdings to consolidated statements that were sent to the customers.
Williams was registered with New England Securities in New York, New York from November 1997 until December 1998, Signator Investors in Towson, Maryland from May 1998 until March 2013 and NBC Securities in Hunt Valley, Maryland from April 2013 until September 2013. He has three customer disputes against him. He is not currently licensed within the industry, nor is he registered with any FINRA member firm.
If you lost money with Cory D. Williams, his former firm, Signator Investors, may be liable for investment losses. Please call our securities law firm in Chicago at 312-332-4200 to speak with an attorney about your options of suing Signator for financial losses. The call is free with no obligation. We take cases on a contingency fee basis only.
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