Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Higginbotham (Higginbotham), previously associated with E*trade Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Higginbotham recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 21, 2021.
Client alleged that he was not informed of the value of the annuities at the time of the surrender.