Tag Archives: Hilltop Securities Inc.

Investors File Arbitration Claim Against First Allied Securities

March 08, 2021  |   Posted by :   |   Alternative Investments, Excessive Trading, Investment and Regulatory News   |   Comments Off on Investors File Arbitration Claim Against First Allied Securities

Kyle Robert Franklin of Cameron Park California a stockbroker formerly registered with First Allied Securities is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages based upon accusations of negligence and breach of contract as it pertained to real estate investment trusts and variable annuities purchased […]

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Hilltop Securities Accused Of Excessive Trading

June 08, 2020  |   Posted by :   |   Alternative Investments, Breach of Fiduciary Duty, Churning, Excessive Trading, Unauthorized Trading   |   Comments Off on Hilltop Securities Accused Of Excessive Trading

Mark Katz of San Diego California a stockbroker formerly associated with Hilltop Securities Inc. has been referenced in a customer initiated investment related complaint on February 18, 2020 in which the customer requested $357,000.00 in damages supported by allegations of unauthorized and excessive trading in the customer’s account by Katz which caused the Hilltop Securities […]

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Investors Accuse Hilltop Securities Of Misrepresentation

June 03, 2020  |   Posted by :   |   Securities Arbitration Claims, Unit Investment Trusts (UITs)   |   Comments Off on Investors Accuse Hilltop Securities Of Misrepresentation

Dennis Robberecht (also known as Dennis Robreck and as Dennis Robbercht) of Roseville California a stockbroker currently associated with Hilltop Securities Inc. has been referenced in a customer initiated investment related written complaint on January 13, 2020 in which the customer requested $46,000.00 in damages supported by allegations that misrepresentations had been made about securities […]

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Hilltop Securities Accused Of Excessive Trading UITs

Walter Roland Valenzuela of Del Mar California a stockbroker currently registered with Hilltop Securities Inc. is referenced in a customer initiated investment related complaint which was settled on November 1, 2018 for $100,000.00 in damages founded on accusations that (1) unit investment trust trades were made in the customer’s account on an excessive basis (2) […]

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Investors Accuse Hilltop Securities Of Annuity Fraud

Kyle Robert Franklin of Roseville California a stockbroker currently registered with Hilltop Securities Inc. is referenced in a customer initiated investment related written complaint on April 10, 2018 in which the customer sought at least $5,000.00 in damages supported by allegations that the customer was inappropriately advised to reallocate variable annuity positions, resulting in the […]

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Hilltop Securities Sued By Customer For Churning

Walter Roland Valenzuela, of Del Mar, California, a stockbroker currently registered with Hilltop Securities, Inc., is the subject of a customer initiated investment related arbitration claim, where the customer requested $9,500,000.00 in damages supported by allegations of elder abuse, misrepresentation, excessive trading, breach of fiduciary duty, excessive mark-downs and mark-ups, inappropriate margin use, suitability, and […]

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Punitive Damges Award Against Wedbush Securities Fraud

Mark Fred Augusta, of Solana Beach, California, a stockbroker formerly registered with Wedbush Securities Inc., is the subject of a customer initiated investment related arbitration claim, in which the customer was awarded 250,000.00 in compensatory damages, $1,080,000.00 in punitive damages, and $110,000.00 in disgorged commissions on July 13, 2017, supported by allegations against Augusta and […]

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Customer Sues Morgan Stanley For Investment Losses

August 26, 2017  |   Posted by :   |   Securities Arbitration Claims   |   0 Comments

Donald Allen Kartoon, of Beverly Hills, California, a stockbroker formerly registered with Morgan Stanley, is the subject of a customer initiated investment related arbitration claim, where the customer was awarded $4,000.00 in damages on April 6, 2017, based upon allegations that Kartoon failed to abide by the customer’s instructions to sell the customer’s position in […]

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