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 |
|---|---|---|---|---|---|---|---|---|
| Mark Fred Augusta | 1333913 | 24 | 08/10/2000 | Customer Dispute | Final | $312,000.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 24 | 08/09/2000 | Customer Dispute | Final | $230,772.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 24 | 07/10/2000 | Customer Dispute | Final | $45,000.00 | $0.00 | See FINRA Report |
| Timothy Earl Nelson | 1704486 | 1 | 09/23/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Stone Feild | 815098 | 2 | 04/01/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Barbara Frenkel | 727924 | 2 | 08/20/1981 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Hardie Jones | 261337 | 1 | 06/20/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |