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.

For brokercheck report and additional info click here!

Alan Rosca (1225 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.