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 |
|---|---|---|---|---|---|---|---|---|
| Milford Lee Stern | 501622 | 1 | 08/09/2002 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Paul Lawrence Wunsch | 2002951 | 1 | 07/11/2002 | Customer Dispute | Closed-No Action | $5,650.00 | $0.00 | See FINRA Report |
| Ronald Lee Gershon | 2243116 | 5 | 05/02/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Henry Willis Bashore | 721311 | 2 | 04/24/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Henry Willis Bashore | 721311 | 2 | 04/22/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 24 | 11/26/2001 | Customer Dispute | Final | $3,300,000.00 | $0.00 | See FINRA Report |
| Bradley Todd Glasman | 1170033 | 20 | 05/03/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 24 | 04/23/2001 | Customer Dispute | Final | $229,256.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 24 | 04/23/2001 | Customer Dispute | Final | $514,845.00 | $0.00 | See FINRA Report |
| Donald Allen Kartoon | 264647 | 8 | 04/09/2001 | Customer Dispute | Settled | $690,000.00 | $0.00 | See FINRA Report |