Category Archives: Legacy Asset Securities

William Hightower-Former UBS/Legacy Asset Broker Barred from Industry-Houston, TX

UPDATE: Former William Hightower customer files arbitration seeking $150,000 damages from UBS FInancial for recommending risky, unsuitable investment. See this for more.

October 7, 2015-Houston, Texas

William Andrew Hightower, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to fully respond to a request for documents and information in connection with a FINRA investigation into allegations that Hightower, while associated with a FINRA member firm, improperly referred customers to an unapproved private securities transaction.

AWC No.  2014042558101

Hightower was barred from the securities industry.

According to FINRA records, Hightower  was registered with Legacy Asset Securities  from 9/2013-6/2015. Prior to that he was registered with UBS Financial Services from 6/2007-9/2013.

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