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 |
|---|---|---|---|---|---|---|---|---|
| Jeffry Alan Mullins | 2726351 | 2 | 08/17/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stacy Lynn Sternportman | 1155563 | 4 | 05/14/2009 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Michael David Karp | 1101371 | 1 | 04/28/2009 | Customer Dispute | Denied | $400,000.00 | $0.00 | See FINRA Report |
| Barbara Frenkel | 727924 | 2 | 04/27/2009 | Customer Dispute | Settled | $110,767.00 | $0.00 | See FINRA Report |
| Howard Drew Arden | 4739759 | 1 | 04/22/2009 | Customer Dispute | Settled | $9,570.00 | $0.00 | See FINRA Report |
| Wendy Trahan Cepak | 2850886 | 1 | 03/06/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Christian Coyle | 2505287 | 1 | 11/19/2008 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Ronald Lee Gershon | 2243116 | 5 | 11/04/2008 | Customer Dispute | Settled | $180,000.00 | $0.00 | See FINRA Report |
| Ronald Lee Gershon | 2243116 | 5 | 05/05/2008 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Donald Allen Kartoon | 264647 | 8 | 04/08/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |