Tag Archives: Hilltop Securities Independent Network

Hilltop Discharges Stockbroker For Unauthorized Trading

May 29, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Philip Hearl Hamilton of Arlington Texas a stockbroker employed by Hilltop Securities Independent Network Inc. has been discharged by the firm on March 13, 2018 supported by allegations that Hamilton violated the firm’s policies by effecting trades in a customer’s account that was deceased. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that on August […]

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Hilltop Securities Sanctioned For Failure To Supervise

July 28, 2017  |   Posted by :   |   Failure To Supervise   |   0 Comments

Hilltop Securities Independent Network, a broker-dealer located in Dallas, Texas, was censured and fined $40,000.00 by Financial Industry Regulatory Authority (FINRA) based upon the firm’s consent to findings that it failed to supervise the activities of a registered representative who made investment recommendations that were not suitable for customers, and failed to create and implement […]

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