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 |
|---|---|---|---|---|---|---|---|---|
| John Thomas Buffa | 3079925 | 1 | 03/11/2002 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Richard Scott Saperstein | 1141383 | 1 | 02/08/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Peter McFadden | 2837091 | 1 | 09/28/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Anthony Mercer | 1126913 | 1 | 07/23/2001 | Customer Dispute | Withdrawn | $240,000.00 | $0.00 | See FINRA Report |
| Joseph William Feinberg | 2325871 | 1 | 06/19/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Lee Corliss | 1649445 | 1 | 02/25/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jack Edward Thomas | 2518292 | 1 | 11/21/2000 | Customer Dispute | Closed-No Action | $27,512.10 | $0.00 | See FINRA Report |
| Barnaby Jason Levin | 1796653 | 2 | 10/23/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy Martin Scannell | 1552763 | 4 | 08/23/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Blair Feit | 1027209 | 2 | 08/11/2000 | Customer Dispute | Pending | $40,000.00 | $0.00 | See FINRA Report |