Hilltop Securities Inc.

Broker Steven Kenny in Hilltop Securities INC. Firm Has Customer Complaint

August 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 16, 2020.

Claimants allege that MLP investments made in their discretionary investment advisory accounts while at RBC Capital Markets were not suitable for their investment objectives. Upon transfer to BB&T Securities in 2016, the accounts maintained investments in question. The claimants have alleged failure to treat Claimants justly and equitably, negligent misrepresentation, omission and supervision, fraudulent misrepresentation and omission, breach of fiduciary duty, breach of contract, and violation of federal and state securities laws.

Broker Steven Kenny in Hilltop Securities INC. Firm Has Customer Complaint

May 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 16, 2020.

Claimants allege that MLP investments made in their discretionary investment advisory accounts while at RBC Capital Markets were not suitable for their investment objectives. Upon transfer to BB&T Securities in 2016, the accounts maintained investments in question. The claimants have alleged failure to treat Claimants justly and equitably, negligent misrepresentation, omission and supervision, fraudulent misrepresentation and omission, breach of fiduciary duty, breach of contract, and violation of federal and state securities laws.

There are Recent Customer Complaints with Broker Kyle Franklin in Firm Hilltop Securities INC.

March 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 11, 2020.

Claimants allege their financial advisor recommended unsuitable investments. Claimants allege breach of duty and contract, negligence, and failure to supervise.

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

March 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $25,000.00 on September 23, 2020.

Customer alleges that representative failed to follow instructions with respect to the disclosure of account transactional information, failed to follow instructions from an account trustee.

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.