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 moreNovember 2018-Mansfield, TX According to publicly available records Bradley Kyle Scott , (CRD# 4381014) , a stockbroker who currently employed by LPL Financial who was previously registered with Southwest Securities, Inc., (now Hilltop…
read moreFebruary 2018 – San Marcos, Texas According to publicly available records Walter L. (Leighton) Stallones , (CRD# 433344) , a stockbroker who is currently employed by Hilltop Securities Independent Network, disclose that he was the…
read moreJanuary 2016- San Marcos, Texas According to publicly available records Walter L. (Leighton) Stallones , (CRD# 433344) , a stockbroker who is currently employed by Hilltop Securities, disclose that he is the subject of one pending…
read moreDecember 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 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 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 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…
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