Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Hilltop Securities. If you suffered losses investing with Hilltop Securities, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Hilltop Securities (CRD# 6220) (SEC# 801-55529, 8-45123)
As of April 4, 2020, Hilltop Securities’s FINRA BrokerCheck Report contains the following:
52 Regulatory Event Disclosures
1 Civil Event Disclosures
20 Arbitration Disclosures
Main Office Location
1201 ELM ST
SUITE 3500
DALLAS, TX 75270-2180
UNITED STATES
Mailing Address
1201 ELM ST
SUITE 3500
DALLAS, TX 75270-2180
UNITED STATES
Business Telephone Number
214-859-1800
Direct Owners and Executive Officers
HILLTOP SECURITIES HOLDINGS, LLC, PARENT
ALEXANDER, LAURA BONNELL (CRD#:2900382), BOARD DIRECTOR
COGLIANO, MICHAEL ANTHONY (CRD#:2505017), CHIEF COMPLIANCE OFFICER
COGLIANO, MICHAEL ANTHONY (CRD#:2505017), AML OFFICER
EDGE, JOSEPH MICHAEL (CRD#:4326551), BOARD DIRECTOR
EDGE, JOSEPH MICHAEL (CRD#:4326551), CHIEF FINANCIAL OFFICER
FEINBERG, HILLEL ARNOLD (CRD#:205642), CHAIRMAN EMERITUS
LEVENTHAL, LAURA (CRD#:1175259), TREASURER/CHIEF ACCOUNTING OFFICER
LEVENTHAL, LAURA (CRD#:1175259), BOARD DIRECTOR
LYONS, MICHAEL ANDREW (CRD#:6647345), ASSISTANT SECRETARY
MARZ, MICHAEL JOHN (CRD#:874062), BOARD DIRECTOR
MEDANICH, DAVID KING (CRD#:1030727), BOARD DIRECTOR
MUSCHALEK, JOHN RICHARD (CRD#:2226859), BOARD DIRECTOR
SOBEL, JONATHAN SCOTT (CRD#:1540818), CHAIRMAN
WINGES, MARTIN BRADLEY (CRD#:1929509), CEO/PRESIDENT/DIRECTOR
WITTNEBEN, BRIAN LANE (CRD#:4861905), GENERAL COUNSEL/SECRETARY
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Hilltop Securities and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
