Thomas Michael Higgins (CRD#1573505) and UBS FINANCIAL SERVICES INC.

We can help you recover investment losses

Did you lose money on investments recommended by this financial advisor? Our legal team is available to speak with customers regarding potential claims for recovery. A review of their professional history shows the following Previously Reported Complaints:

Any previous customer complaints are made publicly available by FINRA. Reviewing these reports can help investors understand the regulatory history of their financial professionals.

Claim(s) Made Against Thomas Michael Higgins:

Claim Date: 1/22/2026

“Time Frame: April 19th, 2024 What were the allegations against the individual? The client alleges their financial advisor did not act in their best interest as they did not warn them about the true tax consequences of their recommendation to sell their variable annuities.”

This claim, as of this posting, is currently Pending.

See more information on FINRA’s BrokerCheck site for Thomas Michael Higgins.

Did you have problems in an account managed by Thomas Michael Higgins?

The Securities Lawyers at Halling & Cayo S.C. bring claims on behalf of individual(s) and/or groups of investors for recovery of their funds. Most customers will have signed a FINRA arbitration agreement to resolve disputes, including claims for reimbursement of investment losses. As the SEC reminds investors, it can be important to find an attorney that “specializes in resolving securities complaints.” (See our video, What are the steps of a FINRA Arbitration.) If you were a customer of Thomas Michael Higgins and UBS FINANCIAL SERVICES INC. and suffered investment losses, please contact the Securities Lawyers. We only get paid if we recover your money. Your claim may be subject to a time limit or statute of limitations, so contact an attorney right away.
Learn about potential claims for investment recovery, Types of Broker Misconduct and Fraud , or about the FINRA arbitration process, Guide to the FINRA Arbitration Process .

If you had a negative experience or issue with Thomas Michael Higgins and UBS FINANCIAL SERVICES INC. from LEAWOOD, KS, the Securities Lawyers at Halling & Cayo, S.C. may be able to help you. Brokerage firms have a duty to supervise all registered representatives, such as Thomas Michael Higgins, and ensure that they follow all securities rules and regulations and internal policies. Liability for the losses sustained by its customers extends to the Brokerage Firm that the broker was registered with at the time of the breach of his/her standard of care. (We explain in more detail in our video, Do you dare sue your broker?.)

Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.

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