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 | 03/26/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Fred Augusta | 1333913 | 23 | 02/13/2019 | Customer Dispute | Settled | $398,832.00 | $0.00 | See FINRA Report |
| Hunter Ryan Sims | 5963828 | 2 | 01/24/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Marcus Allen | 4757238 | 1 | 11/20/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Carmine Peter Losurdo | 1873257 | 1 | 10/24/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Kane | 5099883 | 4 | 10/07/2018 | Customer Dispute | Denied | $235,000.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 23 | 08/27/2018 | Customer Dispute | Settled | $97,774.00 | $0.00 | See FINRA Report |
| Shawn McKinnon Crawford | 4243722 | 2 | 07/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shawn McKinnon Crawford | 4243722 | 2 | 07/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 23 | 07/16/2018 | Customer Dispute | Settled | $375,000.00 | $0.00 | See FINRA Report |