Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Higgins (Higgins), previously associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Higgins 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 $8,277.60 on November 20, 2020.
Client alleged that Financial Advisor sold a securities position in the Client’s account without authorization. Allegation time period: July 9th, 2020