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Timothy Higgins Formerly With Spartan Capital Securities And Clark Dodge & Co. Has 9 Customer Complaints For Alleged Broker Misconduct

Who is Timothy Higgins formerly with Spartan Capital Securities?

Timothy Higgins (CRD #2282547) who was formerly registered with Spartan Capital Securities and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, Timothy Higgins was associated with Clark Dodge & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Timothy Higgins Customer Complaints

Timothy Higgins has been the subject of 9 customer complaints that we know about. Eight of Timothy Higgins’ 6 customer complaints were settled in favor of investors. One of Timothy Higgins’ customers’ complaints was denied and, to date, the customer has not taken any further action.

Allegations Against Timothy Higgins

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Claimant alleged unsuitable investment recommendations.
  • Customer allege sales practice violations.
  • Breach of Contract, Unsuitability, Excessive Trading, Unauthorized Trading.
  • Customer alleged Timothy Higgins engaged in unauthorized trading.

Timothy Higgins Red Flags & Your Rights As An Investor

Of course, Timothy Higgins did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Timothy Higgins at Spartan Capital Securities and Clark Dodge & Co. on alert to review carefully the activity and performance of their accounts and question whether Timothy Higgins has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities and Clark Dodge & Co. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Spartan Capital Securities Due To Timothy Higgins

If you have questions about Spartan Capital Securities, Clark Dodge & Co., and/or Timothy Higgins and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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