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Tammy Higgins Allegedly Purchased Bonds Without Client Authorization

Nov 4, 2022 Unauthorized Trading

Tammy Higgins (CRD #: 4871138), a broker registered with RBC Capital Markets, allegedly executed unauthorized purchases, according to her BrokerCheck record, accessed on October 21, 2022. Read on if you have questions about her conduct as a broker.

Investor Dispute

On June 27, 2022, an investor alleged that Tammy Higgins made unauthorized purchases of bonds in January 2022. The client sought $58,609.25 in damages and received a settlement of $73,135.75.

FINRA Rule 3260

Unauthorized trading violates FINRA Rule 3260, which restricts brokers from executing discretionary trades outside of pre-authorized discretionary accounts. These accounts must be approved by both the firm and the client before discretionary trading can occur.

Background Information

Tammy Higgins has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Tammy Higgins is a registered broker in 34 states and the District of Columbia. She is also a registered investment adviser in Minnesota and Texas.

She has also worked for the following firms:

  • Country Trust Bank (CRD#:109487)
  • Country Capital Management Company (CRD#:12060)
  • Edward Jones (CRD#:250)

Kurta Law Can Help

If you worked with Tammy Higgins and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.