Options for Clients of Former Cambridge Investment Research, Inc. Broker Clifton Higgs

Erez Law is currently investigating former Cambridge Investment Research, Inc. broker Clifton Higgs (CRD# 5492596) who is accused of energy sector losses. He has been registered with Securities Management & Research, Inc. in Denton, Texas since 2017 and with BFC Planning, Inc. in Denton, Texas since 2017. Previously, he was registered with Cambridge Investment Research Advisors, Inc. in Colleyville, Texas from 2013 to 2017 and with Cambridge Investment Research, Inc. in Colleyville, Texas from 2013 to 2017.

Clifton Higgs Customer Complaints

He has been the subject of one customer complaint, according to his CRD report:

May 2022. “Statement of Claim alleges an investment recommendation was made for the purpose of generating high commissions and fees and that the Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.” The case is currently pending. The complaint was regarding direct and oil and gas investments and took place while he was registered with Cambridge Investment Research, Inc.

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Cambridge Investment Research, Inc. may be liable for investment or other losses suffered by Clifton Higgs’ customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.

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