Matthew Thomas Higgins

(CRD #4209849, Martinsville, New Jersey)

December 3, 2024 – An AWC was issued in which Matthew Thomas Higgins was fined $5,000 and suspended from association with any FINRA member in all capacities for three months. Without admitting or denying the findings, Higgins consented to the sanctions and to the entry of findings that he participated in private securities transactions without providing prior written notice to his member firm. The findings stated that Higgins solicited two investors to invest a total of $150,000 in partnership interests issued by a crypto asset investment fund he co-founded. In addition, Higgins solicited one of those investors and an additional investor to invest $200,000 in promissory notes issued by a crypto asset mining company he co-founded. Higgins introduced the investment opportunities to the investors, answered their questions about the fund or company, sent the investors the offering documents, and facilitated the transactions. Higgins did not receive any commissions for soliciting these transactions or any compensation in connection with the investment fund or the crypto asset mining company. None of the investors were customers of the firm. The suspension is in effect from January 6, 2025, through April 5, 2025. (FINRA Case #2022076346501) If you have suffered losses as a result of Matthew Thomas Higgins's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Matthew Thomas Higgins. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-618-0545 or email Matthew Schwartz directly at mschwartz@tslfirm.com.