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 |
|---|---|---|---|---|---|---|---|---|
| Peter George Cappos | 2445714 | 1 | 05/19/2022 | Customer Dispute | Settled | $47,000.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 24 | 03/24/2021 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 24 | 08/31/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 24 | 05/01/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Jeffrey Neal Vanover | 4813059 | 2 | 12/09/2019 | Customer Dispute | Settled | $785,445.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 24 | 02/13/2019 | Customer Dispute | Settled | $398,832.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 24 | 08/27/2018 | Customer Dispute | Settled | $97,774.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 24 | 07/16/2018 | Customer Dispute | Settled | $375,000.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 24 | 03/19/2018 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Kevin Patrick Barry | 3199462 | 1 | 04/18/2017 | Customer Dispute | Settled | $17,385.80 | $0.00 | See FINRA Report |