Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Spencer Hilligoss (Hilligoss), previously associated with Finalis Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hilligoss 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 $400,000.00 on December 10, 2025.
Alleged unsuitability