Securities Lawyers Blog
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.