Hightower Securities

Broker James Day in Hightower Securities, LLC Firm Has Customer Complaint

January 30, 2026 | by Staff Attorney

Currently financial advisor James Day (Day), currently employed by brokerage firm Hightower Securities, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,001.00 on July 23, 2021.

James Day was involved with a FINRA arbitration claim brought by his former customer alleging certain sales practices and securities law violations, including customer suitability claims, negligence claims, breach of contract and fiduciary duty, and supervisory and due diligence deficiencies relating to the customer’s investments in private placement products in October 2015 and January 2017, totaling $100,001.

Broker John Gibson in Hightower Securities, LLC Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

Previously financial advisor John Gibson (Gibson), previously employed by brokerage firm Hightower Securities, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,001.00 on August 18, 2021.

John Gibson is the subject of a FINRA arbitration alleging certain sales practice violations, including a violation of suitability obligations, in connection with a private placement investment made on or around February 2019, currently required to be disclosed pursuant to FINRA guidance. FINRA arbitration for this matter is still pending, and the FINRA arbitration tribunals have not yet finalized its evaluation of the client’s statement of claim. In keeping with FINRA’s disclosure requirements, this arbitration is required to be disclosed before Mr. Gibson can defend his actions.

Broker Charles Holt in Hightower Securities, LLC Firm Has Customer Complaint

January 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Holt (Holt), previously associated with Hightower Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Holt recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $35,612.00 on September 24, 2021.

Charles Holt was named in a customer complaint that asserted the following causes of action: Breach of fiduciary duty, unsuitability, misrepresentations, failure to conduct a proper due diligence, and violation of FINRA Rules 2010 and 2310.

There are Recent Customer Complaints with Broker Patricia Pick in Firm Hightower Securities, LLC

July 16, 2025 | by Staff Attorney

Previously financial advisor Patricia Pick (Pick), previously employed by brokerage firm Hightower Securities, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $200,000.00 on July 25, 2023.

Patricia Pick is involved with a FINRA arbitration claim brought by her former customer alleging certain sales practices violations, including customer suitability claims, negligence claims, breach of contract and fiduciary duty, and supervisory deficiencies relating to the customer’s investments in private placement products in October 2015 and January 2017 (while Ms. Pick was employed by the reporting firm).

There are Recent Customer Complaints with Broker William Galvin in Firm Hightower Securities, LLC

February 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Galvin (Galvin), currently associated with Hightower Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Galvin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $60,000.00 on December 04, 2024.

The product became illiquid and the REIT stopped paying dividends after dropping in value. The original purchase was for $60,000.00 and was bought ten years ago.

There are Recent Customer Complaints with Broker Thomas Mingone in Firm Hightower Securities, LLC

February 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Mingone (Mingone), currently associated with Hightower Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mingone recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $60,000.00 on December 04, 2024.

The product became illiquid and the REIT stopped paying dividends after dropping in value. The original purchase was for $60,000.00 and was bought ten years ago.

Broker John Galvin in Hightower Securities, LLC Firm Has Customer Complaint

February 11, 2025 | by Staff Attorney

Currently financial advisor John Galvin (Galvin), currently employed by brokerage firm Hightower Securities, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.