Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 12, 2019 indicate that former Arizona-based First Financial Equity Corporation broker/adviser Robert High, who has been named in an FBI investigation, was recently discharged from a former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. High (CRD# 4568165).
Robert High has spent 16 years in the securities industry and was most recently registered with First Financial Equity in Scottsdale, Arizona (2012-2019). Previous registrations include Chase Investment Services Corporation in Mesa, Arizona (2005-2012); Banc One Securities in Chicago, Illinois (2003-2005); and Edward Jones in St. Louis, Missouri (2002-2003). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 31, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 27, 2002; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on September 23, 2002. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received two customer complaints, was recently discharged from his former employer in connection to alleged rule violations, and has been named in an FBI investigation into alleged misconduct.
In February 2019 he was terminated from his position at First Financial Equity Corporation in connection to allegations he violated firm policies.
In February 2019 he was named in an FBI investigation into allegations he potentially committed forgery and misappropriated funds. The investigation remains pending.
In 2011 a customer alleged Robert High, while employed at Chase Investment Services, failed to follow instructions in connection to a variable annuity investment. The complaint settled for $28,883.
In 2013 a customer alleged Robert High, while employed at Chase Investment Services, misrepresented material facts and acted unsuitably in connection to a managed account investment. The complaint settled for more than $4,300.
If you or someone you know has lost money investing with Robert High, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get receive payment if and when you collect money. Time to file your claim may be limited by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.