Highfill— Failure to Provide Documents During an Investigation
Michael Ross Highfill Allegedly Solicited and Accepted a Loan from an Elderly Customer and Did Not Report Outside Business Activity
Michael Ross Highfill allegedly solicited and accepted a loan from an elderly customer and also failed to report an outside business activity, according to a Complaint from FINRA’s Department of Enforcement.
FINRA goes on to note that Highfill entered the securities industry in January 1999, and between January 1999 and July 2008, he was associated with a total of four FINRA member firms. FINRA also reports that from July 11, 2008 to May 8, 2015 Highfill was associated with FINRA member Merrill Lynch, Pierce, Fenner & Smith Incorporated.
Michael Ross Highfill Barred by FINRA for Failing to Provide Documents and Information During an Investigation into Several Allegations
Michael Ross Highfill has been barred by FINRA for failing to provide documents and information during an investigation into several allegations including accepting a loan from an elderly customer and also failing to report an outside business activity, according to a Complaint from FINRA’s Department of Enforcement.
Hence, based on the foregoing, Michael Ross Highfill has violated FINRA Rules, and has been barred from associating with any FINRA member in any capacity, the FINRA Complaint further notes.
The Peiffer Rosca Wolf Investor Rights Lawyers Fight to Help Investors
The Peiffer Rosca Wolf investor rights lawyers often represent investors who lose money as a result of alleged broker misconduct. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.
Investors who believe they lost money as a result of alleged broker misconduct may contact the investor rights lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at 888-998-0520.
Broker: Michael Ross Highfill
Status: INVESTIGATED by Peiffer Rosca.
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