Hilltop Securities Inc.

Broker Peter Cappos in Hilltop Securities INC. Firm Has Customer Complaint

November 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Cappos (Cappos), currently associated with Hilltop Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Cappos recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $47,000.00 on May 19, 2022.

Claimant complains of poor account performance.

There are Recent Customer Complaints with Broker Mark Augusta in Firm Hilltop Securities INC.

November 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Augusta (Augusta), currently associated with Hilltop Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Augusta recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on April 02, 2025.

[REDACTED] bring these claims against HTS and Mark Augusta for investing in what they thought were suitable investments that would meet the needs and goals of income and principal protection. They claim a loss of $300,000. They claim negligence, breach of fiduciary duty, failure to supervise, breach of contract, misrepresentation, negligent hiring, and violations of FINRA&#39;s conduct rules

Broker Dennis Ayre in Hilltop Securities INC. Firm Has Customer Complaint

August 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Ayre (Ayre), previously associated with Hilltop Securities INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Ayre recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on June 12, 2023.

Respondent Ayre failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Michael Spohn in Firm Hilltop Securities INC.

August 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Spohn (Spohn), currently associated with Hilltop Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Spohn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $44,961.27 on June 23, 2025.

Claimant alleges misrepresentation with respect to the solicitation of a Collateral Mortgage Obligation.

Broker Michael Spohn in Hilltop Securities INC. Firm Has Customer Complaint

August 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Spohn (Spohn), currently associated with Hilltop Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Spohn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $44,961.27 on June 23, 2025.

Claimant alleges misrepresentation with respect to the solicitation of a Collateral Mortgage Obligation.

Broker Dennis Ayre in Hilltop Securities INC. Firm Has Customer Complaint

June 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Ayre (Ayre), previously associated with Hilltop Securities INC., has at least 13 disclosable events. These events include 11 customer complaints, 2 regulatory events, alleging that Ayre recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on June 12, 2023.

Respondent Ayre failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Rajesh Markan in Firm Hilltop Securities Inc.

March 27, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Rajesh Markan (Markan) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Markan was employed by Hilltop Securities Inc. at the time of the activity. If you have been a victim of Markan’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on February 18, 2025.

Clients allege that they were solicited by their Financial Advisor to invest in an outside investment that was fraudulent. They also allege misappropriation of funds.

There are Recent Customer Complaints with Broker Rajesh Markan in Firm Hilltop Securities Inc.

February 24, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Rajesh Markan (Markan) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Markan was employed by Hilltop Securities Inc. at the time of the activity. If you have been a victim of Markan’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on November 25, 2024.

Client alleges that she was solicited by her Financial Advisor to invest in an outside investment that was fraudulent. She also alleges misappropriation of funds.