Ricky Mills Higgins of Spartanburg South Carolina a stockbroker formerly employed by ProEquities Inc. has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he utilized signed but otherwise blank forms to effect mutual fund transactions in […]
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Tag Archives: Ricky Mills Higgins
ProEquities Broker Fined For Unauthorized Transactions
May 29, 2018 | Posted by : Guiliano Law Group | Forgery, Investment and Regulatory News | 0 Comments