Broker Richard Earl Cagle, Hilltop Securities in Corpus Christi, TX
Are you concerned about your investments with financial advisor Richard Cagle? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim.
According to public records on the Financial Industry Regulatory Authority (FINRA) website, financial advisor Richard Cagle was reportedly barred from associating with any FINRA member at any time after he allegedly refused to appear and provide on-the-record testimony requested by FINRA. FINRA was reportedly investigating whether Cagle violated FINRA rules by allegedly making unsuitable investment recommendations and purportedly mismarking customer order tickets while associated with his former member firm, Hilltop Securities, according to the Letter of Acceptance, Waiver & Consent.
According to his broker profile, Cagle was reportedly registered with Hilltop Securities in Corpus Christi, TX from 1997 until 2019. He has 2 customer complaints reportedly filed against him, according to FINRA BrokerCheck. Allegations include unsuitable investment recommendations.
Free Consultation with a Securities Attorney
If you are concerned about your investments with Richard Cagle, please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation.
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee.
For more information on The White Law Group, and its representation of investors, please visit www.WhiteSecuritiesLaw.com.