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.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
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