WILLIAM ANDREW HIGHTOWER (BILL HIGHTOWER), a former broker from Houston, Texas, who was formerly with UBS Financial Services Inc. and Legacy Asset Securities, Inc. was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm in 2015. Hightower, according to FINRA’s BrokerCheck, was barred because he failed to respond fully to a request for documents and information made by FINRA in connection with an investigation into allegations that he improperly referred clients to an unapproved private securities transaction. Hightower failed to provide, among other things, a list of any clients he referred to the private securities transaction. It is alleged that Bill Hightower recommended to his clients investing in Hightower Capital Group, a common stock that was allegedly high-risk and an unsuitable private placement, resulting in losses to the investors.
Bill Hightower has been in the securities industry, according to FINRA’s BrokerCheck, for 20 years and has been a broker in Houston, Texas since 2007. Hightower has 3 Customer Disputes on his FINRA report. It was alleged beginning in 2009, Bill Hightower engaged in improper sales of private securities.
Bill Hightower was listed with 5 firms during the time he was registered in the securities industry, the most current are listed below:
09/23/2013 - 06/17/2015 LEGACY ASSET SECURITIES, INC - HOUSTON, TX
06/07/2007 - 09/12/2013 UBS FINANCIAL SERVICES INC. - HOUSTON, TX
If you or a loved one suffered losses in Hightower Capital Group, or any other investments recommended by William A. Hightower, formerly of UBS and Legacy Asset Securities of Houston, Texas, contact Soreide Law Group and speak to an experienced securities lawyer at no cost to you regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA. We operate on a contingency fee basis, which means there is no fee to you if there is no recovery.
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