SAMUEL CLIFFORD MUNHOLLON is currently employed as a Broker and/or Investment Adviser at HILLTOP SECURITIES INC. located at 4811 GAILLARDIA PARKWAY, SUITE 105, OKLAHOMA CITY, OK, 73142.
SAMUEL CLIFFORD MUNHOLLON has worked at HILLTOP SECURITIES INC. since July 29, 2004
Disclosure History
SAMUEL CLIFFORD MUNHOLLON has 5 Disclosure Event(s).
Date: February 05, 2005 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT FINANCIAL ADVISOR CONDUCTED UNAUTHORIZED TRADES IN HIS ACCOUNT PRIOR TO 2004. Damage Amount Requested: $250,000.00 Broker Comment: MUNHOLLON HAS NOT BEEN CONTACTED EITHER VERBALLY OR IN WRITING BY THE CUSTOMER OR FORMER EMPLOYER REGARDING THIS MATTER. MUNHOLLON DENIES THE VALIDITY OF THE ALLEGED COMPLAINT AND STATES THAT ANY ALLEGATIONS ARE WITHOUT MERIT AND UNSUPPORTABLE.
Date: July 18, 2000 Category: Customer Dispute Allegations: ALLEGED BROKER FAILED TO FOLLOW HER INSTRUCTIONS TO TENDER CD ON A TIMELY BASIS. Damage Amount Requested: $9,079.00 Broker Comment: UPON REVIEW, MSDW DETERMINED THAT THE CLAIM LACKED OF MERIT.
Date: May 02, 1990 Category: Regulatory
Date: June 12, 1987 Category: Employment Separation After Allegations Firm Name: STIFEL, NICOLAS & CO. Termination Type: Permitted to Resign Broker Comment: WHILE IT IS TRUE THAT MUNHOLLON'S EMPLOYMENT WITH STIFEL NICOLAUS WAS TERMINATED ON 6/12/87, THE REASON WAS FOR VOLUNTARY RESIGNATION - NOT FOR DISCHARGE. MUNHOLLON WAS NOTIFIED BY THE LOCAL OFFICE MANAGER, [THIRD PARTY], THAT HE WAS BEING DISCHARGED, ONLY AFTER MUNHOLLON HAD NOTIFIED [THIRD PARTY] OF HIS RESIGNATION. FURTHER, THE NOTE IN QUESTION RELATES TO A DEFAULT OF A CUSTOMER ([THIRD PARTY]) IN THE ORIGINAL AMOUNT OF $21,126.00 IN STIFEL'S ACCOUNT [ACCT #]. BECAUSE OF THE AGRESSIVE NATURE OF THIS ACCOUNT AND PREVIOUS HISTORY OF OVERDRAFTS, MUNHOLLON INSTRUCTED THIS ACCOUNT IN 5/84 AND THE CASHIER, [THIRD PARTY], THAT THIS ACCOUNT WAS TO ONLY BE ALLOWED TO DEPOSIT CERTIFIED FUNDS OR CASH, BUT NEVER PERSONAL CHECKS OR THIRD PARTY CHECKS. AFTER EXAMINATION BY STIFEL'S COMPLIANCE OFFICER ON OR ABOUT 4/11/85, THE [THIRD PARTY] ACCOUNT WAS ALLOWED TO CONTINUE TRADING ONLY UNDER THE STRICT PROVISIONS THAT [THIRD PARTY]'S ACCOUNT WOULD BECOME PERMANENTLY RESTRICTED TO "GOOD FUNDS". ON OR ABOUT 10/21/86, [THIRD PARTY] ADVISED MUNHOLLON BY TELEPHONE THAT CHECKS DEPOSITED TO [THIRD PARTY]'S ACCOUNT WERE BOUNCING. UPON INSPECTION OF THE COPIES OF THE RETURNED ITEMS, IT BECAMECLEAR THAT THE ITEMS WERE NOT CASHIER'S CHECKS BUT RATHERPERSONAL CHECKS DRAWN ON THE CLOSED ACCOUNT OF [THIRD PARTY].[THIRD PARTY]'S RESPONSE, UPON QUESTIONING, WAS "THE ACCOUNTSCREEN DID NOT SHOW THE ACCOUNT AS RESTRICTED ANY MORE, ANDBESIDES, [THIRD PARTY] IS RELATED TO [THIRD PARTY] (THEOKLAHOMA DIVISION MANAGER OF STIFEL NICOLAUS AND EXECUTIVE VICE PRESIDENT)". ON 4/15/87, [THIRD PARTY] HANDED MUNHOLLON A LETTER AND A PROMISSORY NOTE AND DEMANDED THAT MUNHOLLON SIGN THE NOTE REGARDING [THIRD PARTY]'S DELINQUENT ACCOUNT. UNDER STRESS, MUNHOLLON SIGNED THE NOTE, NOT BECAUSE MUNHOLLON AGREED THAT THE LIABILITY WAS HIS, BUT BECAUSE HE COULD NOT AFFORD TO HAVE *SEE FAQ #1*
Date: March 30, 1979 Category: Regulatory Initiated By: OKLAHOMA Resolution: Consent SanctionDetails: Sanctions: Suspension Broker Comment: ON MARCH 30, 1979, THE STATE OFOKLAHOMA DEPARTMENT OF SECURITIES ISSUED A "NOTICE OF INTENTIONTO REVOKE OR SUSPEND REGISTRATION" ("IN THE MATTER OF A.G.EDWARDS & SONS, INC., RICHARD KENT PEMBERTON, NELSON LESLIEOGLESBY, SAMUEL CLIFFORD MUNHOLLON, NORMA ANN SMITH, DAVIDCOLEMAN MERCER, CHARLES STUART TURCI, AND MILTON OWNBEY GALLION,RESPONDENTS"). THE "NOTICE" ALLEGED THAT MUNHOLLON DID, WHILE AREGISTERED SECURITIES AGENT FOR A.G. EDWARDS, SOLICIT THEPURCHASE OF STOCK OR OPTIONS FOR THE ACCOUNT OF A CUSTOMER USINGFALSE, MISLEADING OR UNTRUE STATEMENTS CLAIMING PRIVILEGED ORINSIDE INFORMATION REGARDING THE STOCK OR OPTION BEING PUSHED.MUNHOLLON CONSENTED TO THE ENTRY OF AN ORDER SUSPENDING HISREGISTRATION IN OKLAHOMA FOR TWO DAYS (JUNE 29 AND JUNE 30,1979). THE ORDER DID NOT CONSTITUTE AN ADJUDICATION OR FINDINGOF FACT AS TO THE ISSUES RAISED BY THE "NOTICE". (
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