Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Higgins (Higgins), currently associated with Wells Fargo Clearing Services, 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 on August 09, 2024.
Customer complained that the financial advisor re-purchased securities without first confirming information with customer, resulting in loss of tax credits. (8/8/2024-8/9/2024)