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HilltopSecurities (formerly Southwest Securities)

Richard Cagle-Former Hilltop Securities Broker- Barred From FINRA-Discloses Regulatory Event and Two Customer Disputes-Corpus Christi, TX

Richard Cagle-Former Hilltop Securities Broker- Barred From FINRA-Discloses Regulatory Event and Two Customer Disputes-Corpus Christi, TX 150 150 Rex Securities Law

April 2020- Corpus Christi, TX The FINRA records of Richard Earl Cagle, a broker previously employed  by  Hilltop Securities Independent Network, Inc. , disclose  a regulatory event resulting in his bar from the…

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Clayton Wertz-Former First Financial Equity Broker-Barred from Securities Industry-Dallas, TX

Clayton Wertz-Former First Financial Equity Broker-Barred from Securities Industry-Dallas, TX 150 150 Rex Securities Law

April 2020-Dallas, TX The FINRA records of Clayton H. Wertz, a broker last employed  in the securities industry by First Canterbury Securities, Inc., disclose  a regulatory event resulting in his bar…

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Mark Augusta- Hilltop Securities Broker- Discloses 15 Customer Disputes, 4 Pending Customer Disputes and a Termination from Employment – Del Mar, CA

Mark Augusta- Hilltop Securities Broker- Discloses 15 Customer Disputes, 4 Pending Customer Disputes and a Termination from Employment – Del Mar, CA 150 150 Rex Securities Law

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…

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Bradley Scott-LPL Financial Broker- Discloses $1.4 Million Customer Settlement- Mansfield, TX

Bradley Scott-LPL Financial Broker- Discloses $1.4 Million Customer Settlement- Mansfield, TX 150 150 Rex Securities Law

November 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…

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Walter Leighton Stallones-Hilltop Securities Broker-Discloses Settlement of Customer Disputes-San Marcos, TX

Walter Leighton Stallones-Hilltop Securities Broker-Discloses Settlement of Customer Disputes-San Marcos, TX 150 150 Rex Securities Law

February 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…

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Hilltop Securities Fined by Regulators for Failing to Advise Customers-Dallas, TX

Hilltop Securities Fined by Regulators for Failing to Advise Customers-Dallas, TX 150 150 Rex Securities Law

March 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…

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Leighton Stallones-Hilltop Securities Broker-Discloses Pending Customer Dispute-San Marcos, TX

Leighton Stallones-Hilltop Securities Broker-Discloses Pending Customer Dispute-San Marcos, TX 150 150 Rex Securities Law

January 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…

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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 150 150 Rex Securities Law

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…

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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 150 150 Rex Securities Law

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…

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