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 |
|---|---|---|---|---|---|---|---|---|
| Paul Anthony Ahern | 2257376 | 3 | 07/28/2005 | Customer Dispute | Settled | $1,311,470.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Vogel | 3068529 | 1 | 06/21/2005 | Customer Dispute | Denied | $44,000.00 | $0.00 | See FINRA Report |
| John Wesley Clayton | 1539149 | 1 | 12/28/2004 | Customer Dispute | Denied | $138,070.00 | $0.00 | See FINRA Report |
| William Bartly Wolf | 2235652 | 8 | 10/19/2004 | Customer Dispute | Settled | $22,143.00 | $0.00 | See FINRA Report |
| Thomas Patrick Olexa | 1726384 | 4 | 09/08/2004 | Customer Dispute | Settled | $325,759.00 | $0.00 | See FINRA Report |
| Michelle Lenae Murray | 1983838 | 2 | 05/10/2004 | Customer Dispute | Settled | $31,609.00 | $0.00 | See FINRA Report |
| Thomas Patrick Olexa | 1726384 | 4 | 04/13/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew John Dillig | 3078720 | 1 | 06/26/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas Dante Volpini | 1459266 | 1 | 06/16/2003 | Customer Dispute | Closed-No Action | $31,548.20 | $0.00 | See FINRA Report |
| Roger Capen Shaffer | 2404126 | 1 | 05/23/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |