Our Staff has compiled our research into a database of FINRA Broker Disclosures for Hightower Securities, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Robert D Warren | 5993003 | 1 | 03/11/2020 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| William Bartly Wolf | 2235652 | 8 | 02/20/2020 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Ethan Collins | 4469610 | 2 | 02/20/2020 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Andrew Koebel Schwartz | 2725117 | 1 | 01/03/2020 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Steven Michael Ayer | 2520471 | 2 | 12/17/2019 | Customer Dispute | Final | $170,000.00 | $0.00 | See FINRA Report |
| Michael Patrick Ahearn | 5018599 | 1 | 09/23/2019 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Thomas Patrick Olexa | 1726384 | 4 | 08/20/2018 | Customer Dispute | Pending | $2,211,040.00 | $0.00 | See FINRA Report |
| Brian Edward McGuinness | 4836852 | 2 | 10/05/2017 | Customer Dispute | Denied | $229.00 | $0.00 | See FINRA Report |
| Joel Shawn Rand | 1340807 | 1 | 07/13/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Justin Edward Towey | 2997635 | 1 | 03/15/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |