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WARNING! Impending Investigation: MICHAEL HIGHFILL and MERRILL LYNCH

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07
Aug

WARNING! Impending Investigation: MICHAEL HIGHFILL and MERRILL LYNCH

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Michael Highfill and Merrill Lynch

Have you lost money with financial advisor Michael Highfill of Ridgeland, Mississippi?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael Highfill.  Michael Highfill was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Highfill for allegations that borrowed money from a customer, and that he failed to disclose an outside business activity to his brokerage firm, Merrill Lynch.

Michael Highfill was a financial advisor and registered representative of Merrill Lynch from July 2008 to May 2015.  He worked at a branch office in Ridgeland, Mississippi.  He was also the subject of a $286,000 civil judgment in 2014.

Brokerage firms like Merrill Lynch have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Mississippi. Attorney David Neuman is licensed to practice law in Mississippi.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond Michael, ProEquities, Securities America, National Securities Corp., and many others.

 

If you lost money with Michael Highfill or Merrill Lynch, please Contact Us at 720-599-3505 for a free evaluation of your case.

 

Click to view:  Highfill FINRA AWC

Click to view:  Highfill BrokerCheck 8.6.15

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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