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Written by 4:43 pm Blog, Current Investigations, Securities Fraud

Robert High II, First Financial Broker, Barred after Fraud Charges  

Robert HighII, First Financial Broker, Barred after Fraud Charges , featured by top securities fraud attorneys, the White Law Group

Robert High II Reportedly Pleaded Guilty to Defrauding Client  

According to a pending SEC regulatory action on May 10, 2022, Broker Robert Charles High II (CRD # 4568165) of Scottsdale, Arizona reportedly pleaded guilty to one count of Attempted Fraudulent Schemes and Artifices and one count of theft in State of Arizona vs. Robert Charles High, II, on February 22, 2021. On March 30, 2021, High was reportedly sentenced to a term of imprisonment of two- and one-half years with restitution.   

According to the allegations, High purportedly engaged in a scheme to defraud one of his clients out of $100,000, and he allegedly converted the client’s money. As a result of High’s agreement to plead guilty, the fraudulent scheme charge was amended to an attempt, according to the SEC. The theft count remained unchanged.  

FINRA reportedly barred High from association with any FINRA member at any time. He currently has 7 customer complaints on his record, according to FINRA.  

Robert High II was reportedly registered with the following FINRA registered firms, among others during his career in the securities industry:  
 
04/10/2012 – 02/20/2019, FIRST FINANCIAL EQUITY CORPORATION (CRD#:16507), SCOTTSDALE, AZ,   

07/06/2005 – 04/12/2012, CHASE INVESTMENT SERVICES CORP. (CRD#:25574), MESA, AZ  

Recovery of Investment Losses through FINRA Arbitration       

When brokers and registered investment advisors violate securities laws, such as churning accounts or making unsuitable investment recommendations, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.        

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington.               

We represent investors in all 50 states including Arizona. Our attorneys have recovered millions of dollars from many brokerage firms in the past.               

If you are concerned about your investments with Robert High II and First Financial, please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation.                

For more information on The White Law Group, and its representation of investors, please visit www.WhiteSecuritiesLaw.com.   To learn more about the investigation involving Robert High II, please see:

Robert Charles High II | Broker Fraud Investigation

 

 

  

Tags: , , , , , , , Last modified: June 13, 2022