Southwest Securities (now Hilltop Securities)

  • Robert Rex, Esq.

Walter Leighton Stallones-former Momentum Independent Network Broker-Discloses Settlement of Customer Disputes-San Marcos, TX
Walter Leighton Stallones-former Momentum Independent Network Broker-Discloses Settlement of Customer Disputes-San Marcos, TX 150 150 Robert Rex, Esq.

October 2023 – San Marcos, Texas According to publicly available records Walter L. (Leighton) Stallones , (CRD# 433344) ,  a  stockbroker who is not currently registered and who was last employed by…

read more
  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Bradley Scott with Southwest Securities (now Hilltop Securities)
Rex Securities Law Investment Fraud Attorney Investigates Bradley Scott with Southwest Securities (now Hilltop Securities) 150 150 Robert Rex, Esq.

Last Updated: August 2023 (Mansfield, Texas) Bradley Scott Investigation Summary Here’s what you need to know about Mansfield, Texas, stockbroker Bradley Kyle Scott: Name: Mr. Bradley Kyle Scott Current Employer:…

read more
  • Robert Rex, Esq.

Mark Augusta- Hilltop Securities Broker- Discloses 15 Customer Disputes, 4 Pending Customer Disputes and a Termination from Employment – Del Mar, CA
Mark Augusta- Hilltop Securities Broker- Discloses 15 Customer Disputes, 4 Pending Customer Disputes and a Termination from Employment – Del Mar, CA 150 150 Robert Rex, Esq.

March 2019 – Del Mar, CA According to publicly available records Mark Fred Augusta  (CRD#1333913) ,  a  stockbroker who is currently registered with Hilltop Securities, Inc.,  disclose  15 prior customer disputes, 4 pending customer…

read more
  • Robert Rex, Esq.

Michael Delao-Former Century Securities Broker-Sanctioned by Texas Securities Regulators
Michael Delao-Former Century Securities Broker-Sanctioned by Texas Securities Regulators 150 150 Robert Rex, Esq.

December 2016-Georgetown, Texas The FINRA records of  Michael Ramon Delao,  a  stockbroker with St. Bernard Financial Services , disclose a recently regulatory event , a prior customer dispute and 2 terminations. The Financial Industry Regulatory…

read more
  • Robert Rex, Esq.

Richard M. Ohlhaber-Former Southwest Securities Broker-Discloses Pending Customer Disputes/Regulatory Actions-Grapevine, TX
Richard M. Ohlhaber-Former Southwest Securities Broker-Discloses Pending Customer Disputes/Regulatory Actions-Grapevine, TX 150 150 Robert Rex, Esq.

June 2016-Grapevine, Texas According to FINRA records,  Richard M. Ohlhaber ,   a stockbroker  who most recently was  employed by FSC Securities Corp., Inc. , discloses two pending customer disputes. He also discloses  3 prior final regulatory events…

read more
  • Robert Rex, Esq.

Craig R. Wirth Discloses Discharge From SWS Financial
Craig R. Wirth Discloses Discharge From SWS Financial 150 150 Robert Rex, Esq.

Addison, Texas According to FINRA records,  Craig R. Wirth ,   a stockbroker who currently works for Cambridge Investment Research.   discloses  an Employment Separation After Allegation event. The Financial Industry Regulatory Authority (FINRA) is the agency…

read more
  • Robert Rex, Esq.

Hilltop Securities Named in 46 Regulatory Events/22 Customer Arbitrations
Hilltop Securities Named in 46 Regulatory Events/22 Customer Arbitrations 150 150 Robert Rex, Esq.

  2024 update- Hilltop Securities Lawsuits, Arbitrations & Customer Disputes April 11, 2016-Dallas, Texas The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms.…

read more
  • Robert Rex, Esq.

Jerry Lowrimore-Former Hilltop Securities Broker- Settles Customer Suit Over Precious Metals Investments-Dallas, TX
Jerry Lowrimore-Former Hilltop Securities Broker- Settles Customer Suit Over Precious Metals Investments-Dallas, TX 150 150 Robert Rex, Esq.

October 2023-Dallas, Texas The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

read more
  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Jamey “JC” Graham formerly with Hilltop Securities
Rex Securities Law Investment Fraud Attorney Investigates Jamey “JC” Graham formerly with Hilltop Securities 150 150 Robert Rex, Esq.

Last Updated: October 2023 (Prosper, TX) Jamey Graham Investigation Summary Here’s what you need to know about Prosper, TX, stockbroker Jamey “JC” Graham: Name: Mr. Jamey Carl Graham Current Employer: United…

read more
  • 1
  • 2
Enter your
text here
Verified by MonsterInsights