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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Lee Gershon | 2243116 | 5 | 03/13/2007 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Parrish Ketely Braden | 4160127 | 1 | 09/05/2006 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Christopher John Gallo | 2278217 | 1 | 07/14/2005 | Customer Dispute | Settled | $63,000.00 | $0.00 | See FINRA Report |
| Kevin Michael Dorotik | 1664068 | 1 | 09/29/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Peter Dieter Nett | 4506990 | 3 | 02/24/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Peter Dieter Nett | 4506990 | 3 | 10/30/2003 | Customer Dispute | Settled | $7,444.00 | $0.00 | See FINRA Report |
| William Brett Howard | 1052510 | 8 | 04/08/2003 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| Bradley Todd Glasman | 1170033 | 20 | 09/20/2002 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| 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 |