September 2023- Dallas, Texas According to publicly available records Douglas L. Hodges , (CRD# 4253217) , a stockbroker who is not currently registered as a stockbroker and who was last employed…
read moreMarch 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 moreMarch 2020-Dallas, Texas The FINRA records of Hilltop Securities, a stock brokerage firm headquartered in Dallas, Texas, disclose 52 prior regulator events that are final and 20 prior customer arbitrations. Investigations of…
read moreJune 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 moreAddison, 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 more2024 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 moreOctober 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 moreApril 11, 2016-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…
read more