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 |
|---|---|---|---|---|---|---|---|---|
| Jane Alicia Watkins | 2632086 | 1 | 01/09/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Harold Harding | 1587419 | 2 | 01/03/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 23 | 10/17/2016 | Customer Dispute | Settled | $33,648.00 | $0.00 | See FINRA Report |
| Wesley James Darilek | 5256905 | 1 | 09/23/2016 | Customer Dispute | Settled | $28,950.00 | $0.00 | See FINRA Report |
| Cindy Gail Burgess | 1957882 | 1 | 05/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Clement Spohn | 4696138 | 1 | 03/03/2016 | Customer Dispute | Denied | $93,000.00 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 23 | 01/06/2016 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Donald Allen Kartoon | 264647 | 8 | 10/08/2015 | Customer Dispute | Award / Judgment | $114,142.00 | $4,000.00 | See FINRA Report |
| Reno Edward Jones | 2726980 | 2 | 06/09/2015 | Customer Dispute | Denied | $12,370.40 | $0.00 | See FINRA Report |
| Mark Fred Augusta | 1333913 | 23 | 05/27/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |