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 | 05/02/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| William Brett Howard | 1052510 | 8 | 12/01/2001 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 23 | 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 | 23 | 04/23/2001 | Customer Dispute | Final | $229,256.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 23 | 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 |
| Donald Allen Kartoon | 264647 | 8 | 04/09/2001 | Customer Dispute | Settled | $658,000.00 | $0.00 | See FINRA Report |
| William Brett Howard | 1052510 | 8 | 04/03/2001 | Customer Dispute | Denied | $25,649.50 | $0.00 | See FINRA Report |
| Pamela J Broms | 1242913 | 1 | 03/14/2001 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |