Dennis Ayre Investigation April 2022-Beverly Hills, CA According to publicly available records Dennis Ayre, a former stockbroker who last worked for Hill Top Securities discloses that he has 9 prior customer complaints…
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 moreApril 2018-Plano, TX The FINRA records of William W. Marshall , a stockbroker who is currently registered with Ameriprise Financial Services disclose a prior regulatory event, 6 pending customer disputes including at least…
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. The Financial…
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 moreUPDATE-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…
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…
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