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 |
|---|---|---|---|---|---|---|---|---|
| Bradley Todd Glasman | 1170033 | 20 | 07/26/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Harold Harding | 1587419 | 2 | 02/21/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mica Lynn Owens-Weary | 3131597 | 1 | 09/09/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Adam Ray Melville | 5311511 | 3 | 06/28/2011 | Customer Dispute | Settled | $7,284.72 | $0.00 | See FINRA Report |
| Stacy Lynn Sternportman | 1155563 | 4 | 06/23/2011 | Customer Dispute | Final | $150,000.00 | $0.00 | See FINRA Report |
| Ronald Lee Gershon | 2243116 | 5 | 03/16/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Todd Glasman | 1170033 | 20 | 11/11/2010 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| William Howard Humphreys | 253122 | 2 | 04/27/2010 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Stacy Lynn Sternportman | 1155563 | 4 | 02/18/2010 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Bradley Todd Glasman | 1170033 | 20 | 10/19/2009 | Customer Dispute | Settled | $231,500.00 | $0.00 | See FINRA Report |