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 |
|---|---|---|---|---|---|---|---|---|
| John Christian Coyle | 2505287 | 1 | 11/19/2008 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Ronald Lee Gershon | 2243116 | 5 | 11/04/2008 | Customer Dispute | Settled | $180,000.00 | $0.00 | See FINRA Report |
| Ronald Lee Gershon | 2243116 | 5 | 05/05/2008 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Donald Allen Kartoon | 264647 | 8 | 04/08/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Donald Allen Kartoon | 264647 | 8 | 03/24/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Dennis Robberecht | 1213446 | 6 | 03/20/2008 | Customer Dispute | Closed-No Action | $240,000.00 | $0.00 | See FINRA Report |
| William Howard Humphreys | 253122 | 2 | 01/11/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stacy Lynn Sternportman | 1155563 | 4 | 11/06/2007 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| William Fredric Kellogg | 2098373 | 1 | 09/18/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Brett Howard | 1052510 | 8 | 08/07/2007 | Customer Dispute | Closed-No Action | $48,000.00 | $0.00 | See FINRA Report |