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 |
|---|---|---|---|---|---|---|---|---|
| Peter Dieter Nett | 4506990 | 3 | 01/17/2020 | Customer Dispute | Award / Judgment | $208,000.00 | $0.00 | See FINRA Report |
| Donald Allen Kartoon | 264647 | 8 | 10/08/2015 | Customer Dispute | Award / Judgment | $114,142.00 | $4,000.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 23 | 05/26/2015 | Customer Dispute | Award / Judgment | $0.00 | $1,797,050.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 23 | 08/17/2000 | Customer Dispute | Award / Judgment | $0.00 | $168,400.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 23 | 07/10/2000 | Customer Dispute | Award / Judgment | $377,000.00 | $41,250.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 23 | 06/13/2000 | Customer Dispute | Award / Judgment | $230,000.00 | $833,125.00 | See FINRA Report |