Articles Tagged withRichard Earl Cagle

SSEK Investigates Richard Cagle

If you are an investor who suffered losses while working with former Hilltop Securities Independent Network broker Richard Earl Cagle, please contact ourbroker fraud lawyersatShepherd Smith Edwards and Kantas, LLP (SSEK Law Firm)today. With 28 years in the industry, Cagle, who was a Texas broker, was barred by theFinancial Industry Regulatory Authority (FINRA)a few months ago after he refused to appear and testify in the self-regulatory authority’s probe into allegations that he made unsuitable investment recommendations and mismarked customer order tickets.

It was just earlier this year that Hilltop Securities fired Cagle. HisBrokerCheckrecord shows two settled customer disputes, both alleging unsuitable recommendations. One case was settled for $20K. The other broker fraud case was settled for $230K.