Last Updated: January 2024
Hilltop Securities Investigation Summary
Here’s what you need to know about Dallas, Texas, headquartered brokerage firm Hilltop Securities, Inc:
- Name: Hilltop Securities Inc.
- Special note: Hilltop Securities came about resulting from the 2016 merger of First Southwest Company and Southwest Securities.
- Function: Stock Brokerage Firm / Financial Advisory Firm
- Locations: California – Big Bear Lake, Encino, Monterey, Roseville, San Diego, San Francisco, Sherman Oaks. Minnesota – St Paul. New York – New York City. Oklahoma – Norman, Oklahoma City. Texas – Austin, Dallas, Fort Worth, Houston, Longview, Lufkin, Plano, Sherman, The Woodlands.
- Number of Registered Representatives: About 150.
- CRD #6220
- Can Hilltop Securities be sued in FINRA arbitration: Yes
- Sanctioned by Securities Regulators: Yes – many times, by state and federal regulators as well as self-regulatory agencies (see below).
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With A Broker Who is Registered with Hilltop Securities?
Individual stockbrokers & financial advisors (referred to as registered representatives in the industry) are required to be registered with a FINRA registered broker dealer.
Oftentimes that broker will operate under a “doing business as” (dba) name rather than under the name of the FINRA registered broker dealer where he or she is registered. For example, broker John Doe may be registered with Hilltop Securities (or any of the other thousands of FINRA registered broker dealers nationwide) but his financial services business might be known in the local community as John Doe Financial Services or John Doe Investment Planning, etc.
Should you have a claim for stockbroker malpractice, fraud or negligence for the mishandling of your account, the broker dealer where the stockbroker is registered is liable for those losses under theory that a principal is liable for the damages caused by his agents acting within the scope of their employment.
If your Hilltop Securities broker or financial advisor causes damages due to the mishandling of your account, Hilltop Securities Financial can be held liable.
[ Recommended ] See “How to Research Your Stockbrokers Complaint History” for instructions on how to access FINRA and SEC regulatory records and learn more about a broker or a broker-dealer firm
Hilltop Securities Has A Lengthy History of Regulatory Violations
- Hilltop Securities has been disciplined numerous times over the years by state and federal securities regulatory agencies, including the Financial Industry Regulatory Authority (FINRA), the Securiites & Exchange Commission, Wisconsin Securities Commissioner for violations of industry rules as well as state and federal securities laws.
- As reflected on their CRD (#6220), Hilltop Securities has 54 regulatory disclosures on their FINRA record.
If you would like to review all 54 regulatory sanctions against Hilltop Securities look at their CRD.
Rex Securities Law Investigations of Registered Representatives Who Have Worked for Hilltop Securities
- Augusta, Mark – Del Mar, CA
- Ayre, Dennis – Beverly Hills, CA
- Burford, Scott – Dallas, TX
- Cagle, Richard – Del Mar, CA
- Cappos, Peter G. – Sherman Oaks, CA
- Coma, Stephen – Charlotte, N.C.
- Glasman, Bradley – San Francisco, CA
- Graham, Jamey C. – Prosper, TX
- Hodges, Douglas – Dallas, TX
- Kane, Michael J. – Plano TX
- Lowrimore, Jerry – Dallas, TX
- Marshall, William W. – Plano, TX
- Ohlhaber, Richard M. – Grapevine, TX
- Nett, Peter D. – The Woodlands, TX
- Scott, Bradley – Mansfield, TX
- Stallones, Walter Leighton – San Marcos,TX
- Vanover, Jeffrey – Houston, TX
- Wertz, Clayton – Dallas, TX
- Wirth, Craig R. – Addison, TX
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by a broker or financial advisor who is currently employed by or previously worked for Hilltop Securities, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
