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 |
|---|---|---|---|---|---|---|---|---|
| Donald Allen Kartoon | 264647 | 8 | 03/24/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Dennis Robberecht | 1213446 | 6 | 03/20/2008 | Customer Dispute | Closed-No Action | $240,000.00 | $0.00 | See FINRA Report |
| William Howard Humphreys | 253122 | 2 | 01/11/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffry Alan Mullins | 2726351 | 2 | 11/23/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stacy Lynn Sternportman | 1155563 | 4 | 11/06/2007 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| William Fredric Kellogg | 2098373 | 1 | 09/18/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Brett Howard | 1052510 | 8 | 08/07/2007 | Customer Dispute | Closed-No Action | $48,000.00 | $0.00 | See FINRA Report |
| 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 |