HILLTOP SECURITIES INC. of DALLAS, TX is an SEC-registered investment adviser (CRD 6220). Regulatory assets under management: $2.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Pensions, Charities, Corporations.
Showing 25 of 69 people.
| Name | Role | Location |
|---|---|---|
| Sobel P Scott | CHAIRMAN | NEW YORK, NY |
| Laura Leventhal | BOARD DIRECTOR; TREASURER/CHIEF ACCOUNTING OFFICER/PRINCIPAL FINANCIAL OFFICER | Dallas, TX |
| John Richard Muschalek | BOARD DIRECTOR | — |
| 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/PRESIDENT/DIRECTOR | — |
| Jonathan Scott Sobel | CHAIRMAN | — |
| Scott Andrew Coya | CHIEF COMPLIANCE OFFICER | — |
| Romeo Linsangan Pineda | PRINCIPAL OPERATIONS OFFICER | — |
| STERN MILFORD LEE | CHAIRMAN/DIRECTOR | — |
| PETERSON ROBERT WAYNE | BOARD DIRECTOR; PRESIDENT/CEO; PRESIDENT/COO | — |
| GESCHKE DAVID EDWARD | DIRECTOR OF RETAIL | — |
| PATTERSON WILLIAM | AML OFFICER | — |
| HODGES STACY MALINDA | CFO, EXECUTIVE VICE PRESIDENT; CFO, EXECUTIVE VICE PRESIDENT, TREASURER; CFO, FINOP & DIRECTOR (+2 more) | — |
| WADE JEROME STEPHEN | VP & CLO; VP & GENERAL COUNSEL | — |
| MCBEY ROBERT GEORGE | COO; EXECUTIVE VICE PRESIDENT, COO; EXECUTIVE VICE PRESIDENT/COO (+3 more) | — |
| KNOWLES PHYLLIS JEAN | CCO; CHIEF COMPLIANCE OFFICER; EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER (+1 more) | — |
| FELDER WILLIAM DAVIS | CHAIRMAN; CHAIRMAN/DIRECTOR | — |
| HANKS KENNETH RAY | EXECUTIVE VICE PRESIDENT; EXECUTIVE VICE PRESIDENT/DIRECTOR; EXECUTIVE VICE PRESIDENT/DIRECTOR/CHIEF OPERATIONS OFFICER (+2 more) | — |
| TUBB ALLEN R | CHIEF LEGAL OFFICER/SECRETARY; DIRECTOR; SECRETARY | — |
| LITTON RICHARD HENRY | EXECUTIVE VICE PRESIDENT; EXECUTIVE VICE PRESIDENT, MSRB | — |
| THOMPSON WILLIAM NORMAN | EXECUTIVE VICE PRESIDENT/CHIEF INFORMATION OFFICER | — |
| VINTON PAUL DAVID | EXECUTIVE VICE PRESIDENT; EXECUTIVE VICE PRESIDENT/DIRECTOR; EXECUTIVE VICE PRESIDENT/HEAD OF CLEARING SERVICES | — |
Showing 10 of 58 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-08-14 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ENTERED A SETTLED ORDER FINDING THAT HILLTOP SECURITIES INC. ("HILLTOP") FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS RELATED TO HILLTOP'S BROKER-DEALER BUSINESS, IN WILLFUL VIOLATION OF SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF… | Final | $1.6M |
| 2024-05-07 | regulatory | HILLTOP SECURITIES INC. VIOLATED CBOE RULE 8.43 IN THAT THE FIRM FAILED TO REPORT OR INACCURATELY REPORTED POSITIONS TO THE LOPR IN APPROXIMATELY 131,112 INSTANCES AND FAILED TO ACCURATELY REPORT THE ACCOUNT NUMBER FOR ALL RECORDS SUBMITTED TO THE LOPR IN APPROXIMATELY 1.6 MILLION INSTANCES. THE FIR… | Final | $170K |
| 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 |
| 2020-06-15 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH AND IMPLEMENT AN AML COMPLIANCE PROGRAM REASONABLY DESIGNED TO DETECT AND REPORT SUSPICIOUS TRADING ACTIVITY IN LOW-PRICED SECURITIES. THE FINDINGS STATED THAT CUST… | Final | $475K |
| 2020-02-03 | civil | CONSPIRACY TO FIX PRICES AT WHICH INVESTORS BOUGHT AND SOLD GSE BONDS. | Final | — |
| 2020-02-03 | civil | CONSPIRACY TO FIX PRICES AT WHICH INVESTORS BOUGHT AND SOLD GSE BONDS. | Pending | — |
| 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 INC. AND ITS AFFILIATE, HILLTOP SECURITIES INDEPENDENT NETWORK INC.… | Final | — |
| 2019-09-23 | regulatory | HILLTOP FAILED TO ESTABLISH PROCEDURES REASONABLY DESIGNED TO ASSURE THAT CUSTOMERS RECEIVED THE INITIAL MARGIN INTEREST RATE DISCLOSURES AND FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RULE… | Final | $250K |
| 2016-02-02 | regulatory | SEC ADMIN RELEASES 33-10023; 34-77025; FEBRUARY 2, 2016: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST HILLTOP SECURITIES INC., FORMERLY, SOUTHWEST SECURITIES,… | Final | $360K |
| 2015-07-16 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FORM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO DELIVER EXCHANGE TRADED FUND (ETF) PROSPECTUSES TO ITS OWN CUSTOMERS AT THE TIME OF DELIVERY OF THE SECURITY IN CONTRAVENTION OF SECTION 5 OF THE SECURITIES ACT OF 1933. THE… | Final | $450K |