Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Spencer Huggett (Huggett), currently associated with Cetera Advisor Networks LLC, has at least 2 disclosable events. These events include 2 tax liens, alleging that Huggett recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on November 25, 2024.
Mr. Huggett engaged in prohibited conduct by causing his firm to maintain inaccurate books and records. These acts included using his own email address in place of clients’ email addresses and with client permission and authorization electronically signed client documents on behalf of clients inv violation of ARSD 20:08:03:02 and FINRA Rules 2010 and 4511.
