Douglas Lee Hodges, a stockbroker currently registered with Hilltop Securities Inc. and Hilltop Securities Independent Network Inc., has been subject of investigation conducted by Financial Industry Regulatory Authority (FINRA) into allegations that from April of 2012 to March of 2014, Hodges failed to supervise a registered representative’s activities involving unit investment trust and mutual fund transactions. Examination No. 20130349540 (June 27, 2016). FINRA’s examination focused on whether Hodges’ conduct was violative of FINRA Rule 2010 and NASD Rule 3010.
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