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 |
|---|---|---|---|---|---|---|---|---|
| Rajesh Markan | 4553309 | 1 | 10/05/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lawrence Jeffrey Pace | 3101768 | 2 | 08/22/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph Kane | 5099883 | 4 | 07/15/2022 | Customer Dispute | Pending | $164,965.00 | $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 | |
| Nicholas C. McMahan | 5578896 | 4 | 12/06/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Gerard Kloppers | 5037179 | 1 | 10/26/2021 | 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 |