{"id":6454,"date":"2018-09-06T14:53:13","date_gmt":"2018-09-06T14:53:13","guid":{"rendered":"http:\/\/www.investorlawyers.com\/?p=6454"},"modified":"2018-09-06T14:53:13","modified_gmt":"2018-09-06T14:53:13","slug":"investigations-involving-william-a-hightower-of-ubs-financial-services-and-legacy-asset-securities-inc","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/investigations-involving-william-a-hightower-of-ubs-financial-services-and-legacy-asset-securities-inc\/","title":{"rendered":"Investigations Involving William A. Hightower of UBS Financial Services and Legacy Asset Securities Inc."},"content":{"rendered":"<p>\t\t\t\tSHEPHERD SMITH EDWARDS &amp; KANTAS LLP INVESTIGATING CLAIMS INVOLVING William A. HIGHTOWER, UBS FINANCIAL SERVICES INC. and Legacy Asset Securities, INC.<\/p>\n<p>Baytown, Texas \u2013 September 6, 2018<\/p>\n<p>Lawyers with the Securities Law Firm of SHEPHERD SMITH EDWARDS &amp; KANTAS LLP, <a href=\"http:\/\/www.sseklaw.com\">www.sseklaw.com<\/a>, are investigating claims involving William A. Hightower, UBS Financial Services Inc. and Legacy Asset Securities, Inc.\u00a0 Hightower worked as a broker throughout Texas for almost two decades, with his most recent two positions at UBS and Legacy starting in 2007.\u00a0 It appears that, starting in 2009, <a href=\"https:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2014042558101_FDA_JMX2084.pdf\">Hightower engaged in a series of improper private securities transactions<\/a> including sales of stock in Hightower Capital and \u201cprivate annuities\u201d between Hightower and his customers.\u00a0 In 2015, <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/2152369\">Hightower was barred from the financial services industry<\/a> by FINRA for failing to cooperate with an investigation and is currently under criminal investigation for securities fraud.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/investigations-involving-william-a-hightower-of-ubs-financial-services-and-legacy-asset-securities-inc\/\"  title=\"Continue Reading Investigations Involving William A. Hightower of UBS Financial Services and Legacy Asset Securities Inc.\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>SHEPHERD SMITH EDWARDS &amp; KANTAS LLP INVESTIGATING CLAIMS INVOLVING William A. HIGHTOWER, UBS FINANCIAL SERVICES INC. and Legacy Asset Securities, INC. Baytown, Texas \u2013 September 6, 2018 Lawyers with the Securities Law Firm of SHEPHERD SMITH EDWARDS &amp; KANTAS LLP, www.sseklaw.com, are investigating claims involving William A. Hightower, UBS Financial Services Inc. and Legacy Asset [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":6450,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3773,3762],"tags":[3143,3000,3144],"class_list":["post-6454","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-broker-fraud","category-current-investigations","tag-legacy-asset-securities","tag-ubs","tag-william-hightower"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>William A. Hightower of UBS and Legacy Asset Securities Investigation | Investor Lawyers Blog<\/title>\n<meta name=\"description\" content=\"Hightower worked as a broker throughout Texas for almost two decades, with his most recent two positions at UBS and Legacy starting in 2007.\u00a0 It appears that, starting in 2009, Hightower engaged in a series of improper private securities transactions.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/investigations-involving-william-a-hightower-of-ubs-financial-services-and-legacy-asset-securities-inc\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"William A. Hightower of UBS and Legacy Asset Securities Investigation | Investor Lawyers Blog\" \/>\n<meta name=\"twitter:description\" content=\"Hightower worked as a broker throughout Texas for almost two decades, with his most recent two positions at UBS and Legacy starting in 2007.\u00a0 It appears that, starting in 2009, Hightower engaged in a series of improper private securities transactions.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2018\/09\/9.6.18.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards &amp; Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"William A. 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Hightower of UBS and Legacy Asset Securities Investigation | Investor Lawyers Blog","twitter_description":"Hightower worked as a broker throughout Texas for almost two decades, with his most recent two positions at UBS and Legacy starting in 2007.\u00a0 It appears that, starting in 2009, Hightower engaged in a series of improper private securities transactions.","twitter_image":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2018\/09\/9.6.18.jpg","twitter_misc":{"Written by":"Shepherd Smith Edwards &amp; Kantas, LLP","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.investorlawyers.com\/blog\/investigations-involving-william-a-hightower-of-ubs-financial-services-and-legacy-asset-securities-inc\/#article","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/investigations-involving-william-a-hightower-of-ubs-financial-services-and-legacy-asset-securities-inc\/"},"author":{"name":"Shepherd Smith Edwards &amp; Kantas, LLP","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"headline":"Investigations Involving William A. 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