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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas C. McMahan | 5578896 | 4 | 08/09/2021 | Customer Dispute | Settled | $18,588.00 | $0.00 | See FINRA Report |
| Daniel Carl Tracy | 1536069 | 1 | 07/09/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jaci Ann Chalker | 3123817 | 1 | 07/06/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lawrence Jeffrey Pace | 3101768 | 2 | 04/09/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Fred Augusta | 1333913 | 23 | 03/24/2021 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Grant Everette Finney | 7075576 | 1 | 10/23/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Fred Augusta | 1333913 | 23 | 08/31/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nicholas C. McMahan | 5578896 | 4 | 06/20/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 23 | 05/01/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Reno Edward Jones | 2726980 | 2 | 05/01/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |