RODNEY WAYNE HOTZ is currently employed as a Broker and/or Investment Adviser at HILLTOP SECURITIES INDEPENDENT NETWORK INC. located at 7410 MONTGOMERY BLVD. NE, SUITE 202, ALBUQUERQUE, NM, 87109.
RODNEY WAYNE HOTZ has worked at HILLTOP SECURITIES INDEPENDENT NETWORK INC. since January 05, 2010
Disclosure History
RODNEY WAYNE HOTZ has 1 Disclosure Event(s).
Date: July 08, 2010 Category: Customer Dispute Allegations: CLIENT ALLEGES REP MISREPRESENTED THE RISK OF INVESTMENTS SOLICITED, CAUSING DECREASE IN ACCOUNT VALUE Damage Amount Requested: $90,000.00 Broker Comment: UPON EXPLAINATION, CLIENT REALIZED THAT DECREASE IN ACCOUNT VALUE WAS DUE TO CLIENT INITIATED WITHDRAWALS. COMPLAINT WITHDRAWN, ISSUE CLOSED WITH NO ACTION. SWS FINANCIAL SERVICES, INC. CONSIDERS THE COMPLAINT TO HAVE BEEN WITHOUT MERIT.
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