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 |
|---|---|---|---|---|---|---|---|---|
| Hy Quang Le | 4462424 | 1 | 01/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stacy Lynn Sternportman | 1155563 | 4 | 06/23/2011 | Customer Dispute | Final | $150,000.00 | $0.00 | See FINRA Report |
| Ronald Lee Gershon | 2243116 | 5 | 03/16/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffry Alan Mullins | 2726351 | 2 | 08/17/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Todd Glasman | 1170033 | 20 | 05/16/2003 | Regulatory | Final | $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 |
| William Barry Temple | 2357830 | 2 | 06/25/2001 | Regulatory | Final | $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 |
| Mark Fred Augusta | 1333913 | 24 | 12/21/2000 | Customer Dispute | Final | $500,000.00 | $0.00 | See FINRA Report |