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 |
|---|---|---|---|---|---|---|---|---|
| Tamara Megan Stein | 3054581 | 1 | 02/10/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Allen Flower | 2706423 | 1 | 11/25/2013 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| John Algeri | 2407167 | 1 | 09/19/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Todd Ure | 3120531 | 1 | 07/08/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Allan Kula | 4629625 | 1 | 06/18/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Benjamin Jerome Heeren | 6091539 | 1 | 06/13/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Bartly Wolf | 2235652 | 8 | 08/30/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Bartly Wolf | 2235652 | 8 | 03/02/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Charles Potts | 2754636 | 1 | 03/02/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Michael Shields | 4857245 | 1 | 12/05/2011 | Customer Dispute | Denied | $24,241.00 | $0.00 | See FINRA Report |