MOMENTUM INDEPENDENT NETWORK INC. of DALLAS, TX is an SEC-registered investment adviser (CRD 17587). Regulatory assets under management: $1.6B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Charities, Corporations.
Showing 25 of 50 people.
| Name | Role | Location |
|---|---|---|
| Laura Leventhal | BOARD DIRECTOR; TREASURER | Dallas, TX |
| John Richard Muschalek | BOARD DIRECTOR; PRESIDENT | — |
| Joseph Michael Edge | BOARD DIRECTOR; CHIEF FINANCIAL OFFICER | — |
| Brian Lane Wittneben | GENERAL COUNSEL/SECRETARY | — |
| David King Medanich | BOARD DIRECTOR | — |
| Laura Bonnell Alexander | BOARD DIRECTOR | — |
| Martin Bradley Winges | CEO; CHAIRMAN OF THE BOARD | — |
| Scott Andrew Coya | CHIEF COMPLIANCE OFFICER | — |
| William Barry Temple | MUNICIPAL PRINCIPAL | — |
| Scott Edward Mccaffrey | MANAGING DIRECTOR - HEAD OF MOMENTUM INDEPENDENT NETWORK INC. | — |
| PETERSON ROBERT WAYNE | BOARD DIRECTOR | — |
| GESCHKE DAVID EDWARD | PRESIDENT / CEO | — |
| MCCAFFREY GERARD E | MANAGING DIRECTOR - HEAD OF MOMENTUM INDEPENDENT NETWORK INC. | — |
| WHITE RICHARD EDWARD | VICE PRESIDENT | — |
| HODGES STACY MALINDA | FINOP/CFO/ TREASURER; VICE PRESIDENT/CFO/ TREASURER; VICE PRESIDENT/CFO/ TREASURER/DIRECTOR (+1 more) | — |
| WADE JEROME STEPHEN | GENERAL COUNSEL; VICE PRESIDENT/GENERAL COUNSEL | — |
| KNOWLES PHYLLIS JEAN | CHIEF COMPLIANCE OFFICER | — |
| HANKS KENNETH RAY | EXECUTIVE VICE PRESIDENT/DIRECTOR | — |
| TUBB ALLEN R | SECRETARY; SECRETARY/DIRECTOR; SECRETARY/DIRECTOR/GENERAL COUNSEL (+1 more) | — |
| ROSS JAMES HARRELL | CEO; CEO/DIRECTOR; DIRECTOR (+1 more) | — |
| COGLIANO MICHAEL ANTHONY | ACTING CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER; CROP | — |
| LELAND DANIEL ROGER | CEO | — |
| PERITZ HOLLY PLATT | PRESIDENT; SENIOR VICE PRESIDENT | — |
| TEMPLE WILLIAM BARRY | MSRB; MUNICIPAL PRINCIPAL; SROP (+1 more) | — |
| HOLT LAURA ELIZABETH | CHIEF OPERATING OFFICER | — |
Showing 10 of 32 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-08-22 | regulatory | FAILURE TO COMPLY WITH ORDER 2021-12 REQUIRING AN ON-SITE INSPECTION OF THE FIRM'S BRANCH OFFICE LOCATED IN MAINE. | Final | $3K |
| 2021-07-09 | regulatory | SEE DRP FILED FOR LISTED AFFILIATE. | Final | — |
| 2021-07-09 | regulatory | THE SEC FOUND THAT, BETWEEN JANUARY 2016 AND APRIL 2018, THE FIRM OBTAINED BONDS FOR ITS INVENTORY BY PLACING ORDERS WITH A CO-MANAGING UNDERWRITER AND THAT A REGISTERED REPRESENTATIVE OF THE CO-MANAGING UNDERWRITER PLACED THE FIRM'S STOCK ORDERS WITH THE SENIOR MANAGER AND MISCHARACTERIZED THEM AS… | Final | $85K |
| 2019-09-30 | regulatory | SEC IA RELEASE 40-5393, SEPTEMBER 30, 2019: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE INSTITUTED AGAINST HILLTOP SECURITIES INDEPENDENT NETWORK INC. AND ITS AFFILIATE HILLTOP SECURITIES INC ("… | Final | — |
| 2017-06-28 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS [REGIONAL OSJ] CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT ACTING THROUGH HIM, ITS REGIONAL OFFICES OF SUPERVISORY JURISDICTION (OSJ) MANAGER, HIS MEMBER FIRM FAILED TO REASONABLY SUPERVISE A REGISTERED REPRESENTATIVE'S UNSUITABLE INVESTMENT… | Final | $40K |
| 2014-09-29 | regulatory | THE FIRM WAS NAMED A RESPONDENT IN A FINRA COMPLAINT ALLEGING THAT IT HAD INADEQUATE SUPERVISORY SYSTEMS AND WRITTEN SUPERVISORY PROCEDURES (WSPS) TO SUPERVISE ITS VARIABLE ANNUITY (VA) SECURITIES BUSINESS. THE COMPLAINT ALLEGES THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN SPECIFIC SUPERVISORY SYS… | Pending | — |
| 2014-09-29 | regulatory | THE FIRM WAS NAMED A RESPONDENT IN A FINRA COMPLAINT ALLEGING THAT IT HAD INADEQUATE SUPERVISORY SYSTEMS AND WRITTEN SUPERVISORY PROCEDURES (WSPS) WHEN IT FAILED TO ESTABLISH AND MAINTAIN SPECIFIC SUPERVISORY SYSTEMS AND WSPS THAT WERE DESIGNED TO SUPERVISE ITS VARIABLE ANNUITY (VA) SECURITIES BUSIN… | Final | $50K |
| 2012-01-10 | regulatory | — | — | — |
| 2010-03-24 | regulatory | FINRA RULES 2010, 6622(G), NASD RULES 2110, 3010, 6620(G) - SOUTHWEST SECURITIES, INC. REPORTED TO THE OTC REPORTING FACILITY LAST SALE REPORTS OF TRANSACTIONS IN OTC EQUITY SECURITIES IT WAS NOT REQUIRED TO REPORT. THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO… | Final | $13K |
| 2010-03-24 | regulatory | SEC ADMINISTRATIVE RELEASE 34-61768, MARCH 24, 2010: THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTIONS 15(B), 15B(C)(2) AND 21C OF THE S… | Final | $50K |
Showing 15 of 86 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| DALLAS | TX | 18 | 214-859-1800 |
| DALLAS | TX | 8 | 214-523-2338 |
| SIOUX CITY | IA | 5 | 712-224-2914 |
| DALLAS | TX | 4 | 972-960-1212 |
| WORTHINGTON | MN | 3 | 507-727-7777 |
| SAN ANTONIO | TX | 3 | 210-999-5511 |
| — | — | 2 | 806-433-9638 |
| MANSFIELD | TX | 2 | 817-225-2386 |
| — | — | 2 | 614-410-6675 |
| — | — | 2 | 715-425-6560 |
| AKRON | OH | 2 | 330-865-1335 |
| TYLER | TX | 2 | 903-2798-8606 |
| ARLINGTON | TX | 2 | 817-274-2981 |
| NORMAN | OK | 2 | 405-272-9290 |
| — | — | 2 | 479-659-4914 |