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 |
|---|---|---|---|---|---|---|---|---|
| Brian Edward McGuinness | 4836852 | 2 | 05/13/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard William Weeks IV | 2467229 | 3 | 03/03/2003 | Customer Dispute | Denied | $67,685.30 | $0.00 | See FINRA Report |
| James Jay Hausberg | 714061 | 1 | 12/05/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Patrick Olexa | 1726384 | 4 | 11/22/2002 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Paul Anthony Ahern | 2257376 | 3 | 09/23/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| William Bartly Wolf | 2235652 | 8 | 09/20/2002 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Michelle Lenae Murray | 1983838 | 2 | 08/05/2002 | Customer Dispute | Denied | $89,000.00 | $0.00 | See FINRA Report |
| Deborah Jean Frazier | 1240512 | 1 | 05/21/2002 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Paul Anthony Ahern | 2257376 | 3 | 05/06/2002 | Customer Dispute | Denied | $400,000.00 | $0.00 | See FINRA Report |
| Derek Lynn Bock | 3247749 | 1 | 03/19/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |