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 |
|---|---|---|---|---|---|---|---|---|
| Stacy Lynn Sternportman | 1155563 | 4 | 06/23/2011 | Customer Dispute | Final | $150,000.00 | $0.00 | See FINRA Report |
| Bradley Todd Glasman | 1170033 | 20 | 11/11/2010 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| William Howard Humphreys | 253122 | 2 | 04/27/2010 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Stacy Lynn Sternportman | 1155563 | 4 | 02/18/2010 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Bradley Todd Glasman | 1170033 | 20 | 10/19/2009 | Customer Dispute | Settled | $231,500.00 | $0.00 | See FINRA Report |
| Stacy Lynn Sternportman | 1155563 | 4 | 05/14/2009 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Michael David Karp | 1101371 | 1 | 04/28/2009 | Customer Dispute | Denied | $400,000.00 | $0.00 | See FINRA Report |
| Barbara Frenkel | 727924 | 2 | 04/27/2009 | Customer Dispute | Settled | $110,767.00 | $0.00 | See FINRA Report |
| Howard Drew Arden | 4739759 | 1 | 04/22/2009 | Customer Dispute | Settled | $9,570.00 | $0.00 | See FINRA Report |
| Wendy Trahan Cepak | 2850886 | 1 | 03/06/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |