Cliff Higgs- Securities Management and Research Broker-Discloses Customer Dispute – Denton, TX

Cliff Higgs- Securities Management and Research Broker-Discloses Customer Dispute – Denton, TX

Cliff Higgs- Securities Management and Research Broker-Discloses Customer Dispute – Denton, TX 150 150 ER

Cliff Higgs Investigation

February 2023- Denton, TX

According to publicly available records Clifton “Cliff” Paul Higgs,  a broker employed by Securities Management and Research, Inc.discloses a customer dispute.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In 5/2022,  a Cambridge Investment Research, Inc. (prior employer of Higgs) customer filed FINRA case 22-00974 alleging an investment recommendation was made for the purpose of generating high commissions and fees and that the claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.  The products involved are direct investments, limited partnerships and oil and gas investments. The case is still pending.

Higgs has been with Securities Management and Research, Inc. and with BFC Planning, Inc. since January of 2017.   Before that time he was employed with Cambridge Investment Research Advisors, Inc..

If you have questions about an investment account with Cliff Higgs , call to learn how you may be able to recover damages through FINRA arbitration.

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.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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Rex Securities Law

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Florida-561 391 1900 

Texas-512-329-2870

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