HilltopSecurities (formerly Southwest Securities) Archives - Page 2 of 2

Rex Securities Law
February 17, 2017
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Douglas L. Hodges-Hilltop Securities-Discloses Pending FINRA Examination-Dallas, TX

Douglas L. Hodges-Hilltop Securities-Discloses Pending FINRA Examination-Dallas, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 17, 2017 February 28, 2018

UPDATE-7/2017– FINRA fined Douglas L. Hodges $5,000 and suspended him for 15 business days, ending 8/4/2017 to resolve the FINRA examination discussed below. January 2016- Dallas, Texas According to publicly…

Rex Securities Law
June 15, 2016
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 15, 2016 May 9, 2017

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…

Rex Securities Law
June 4, 2016
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Craig R. Wirth Discloses Discharge From SWS Financial

Craig R. Wirth Discloses Discharge From SWS Financial http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 4, 2016 June 4, 2016

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…

Rex Securities Law
April 11, 2016
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Hilltop Securities Named in 46 Regulatory Events/22 Customer Arbitrations

Hilltop Securities Named in 46 Regulatory Events/22 Customer Arbitrations http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 11, 2016 April 12, 2016

April 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…

Rex Securities Law
April 11, 2016
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Jerry Lowrimore-Hilltop Securities- Named In Customer Arbitration-Dallas, TX

Jerry Lowrimore-Hilltop Securities- Named In Customer Arbitration-Dallas, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 11, 2016 April 11, 2016

Rex Securities Law
April 11, 2016
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Bradley Glasman – 26 Customer Disputes on FINRA Records-Dallas,TX

Bradley Glasman – 26 Customer Disputes on FINRA Records-Dallas,TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 11, 2016 April 11, 2016

Rex Securities Law
April 11, 2016
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Jamey Graham-Hilltop Securities Broker-Named in Customer Dispute-Plano,TX

Jamey Graham-Hilltop Securities Broker-Named in Customer Dispute-Plano,TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 11, 2016 April 11, 2016

April 11, 2016-Plano, 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…

Rex Securities Law
April 5, 2016
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HilltopSecurities Formed by Merger with First Southwest Company

HilltopSecurities Formed by Merger with First Southwest Company http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 5, 2016 April 5, 2016

January 25, 2016-Dallas, Texas Hilltop Holdings, Inc. (NYSE:HTH) announced the merger of its broker dealer subsidiaries First Southwest Company, LLC and Hilltop Securities, Inc. (formerly Southwest Securities). The combined firm…