Our Staff has compiled our research into a database of FINRA Broker Disclosures for Hilltop Securities Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Du | 7540845 | 1 | 05/06/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Fred Augusta | 1333913 | 24 | 04/22/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Parker Wayne Brean | 5507026 | 2 | 04/22/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Lawrence Jeffrey Pace | 3101768 | 2 | 08/22/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Robert Coma | 1414147 | 1 | 06/08/2022 | Customer Dispute | Pending | $13,000,000.00 | $0.00 | See FINRA Report |
| Martin Bradley Winges | 1929509 | 1 | 06/08/2022 | Customer Dispute | Pending | $13,000,000.00 | $0.00 | See FINRA Report |
| Peter George Cappos | 2445714 | 1 | 05/19/2022 | Customer Dispute | Settled | $47,000.00 | $0.00 | See FINRA Report |
| Donald Allen Kartoon | 264647 | 8 | 01/24/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Neal Vanover | 4813059 | 2 | 09/16/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Carl Tracy | 1536069 | 1 | 07/09/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |