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 |
|---|---|---|---|---|---|---|---|---|
| Nancy Helkenn | 4413739 | 1 | 03/23/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Stone Feild | 815098 | 2 | 09/27/1990 | Customer Dispute | Settled | $27,300.00 | $0.00 | See FINRA Report |
| Jason August Lisec | 2796086 | 1 | 09/01/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Charles Berends | 2268410 | 1 | 04/06/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Debora Rene McMillan | 2886219 | 2 | 11/12/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick Scott Freeland | 2032347 | 1 | 08/18/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gary Steven Frazeur | 2409480 | 2 | 04/19/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gary Steven Frazeur | 2409480 | 2 | 03/01/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carmencita Tyler Best | 4735818 | 2 | 12/16/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Stone Feild | 815098 | 2 | 04/01/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |