WILLIAM HOWARD HUMPHREYS is currently employed as a Broker and/or Investment Adviser at HILLTOP SECURITIES INC. located at 7000 NORTH MOPAC EXPRESSWAY, SUITE 400, AUSTIN, TX, 78731.
WILLIAM HOWARD HUMPHREYS has worked at HILLTOP SECURITIES INC. since April 19, 2013
Disclosure History
WILLIAM HOWARD HUMPHREYS has 2 Disclosure Event(s).
Date: April 27, 2010 Category: Customer Dispute Allegations: CLAIM ALLEGES MISREPRESENTATION AND UNSUITABILITY WITH REGARD TO MUTUAL FUNDS PURCHASED IN 2005 AND 2006. Damage Amount Requested: $160,000.00 Settlement Amount: $76,500.00
Date: January 11, 2008 Category: Customer Dispute Allegations: CLAIM ALLEGES UNSUITABILITY OF A MUTUAL FUND INVESTMENT, AND POOR SERVICE DUE TO THE BROKER'S FAILURE TO HAVE CUSTOMER NAME BENEFICIARIES PRIOR TO DEATH. Broker Comment: INVESTIGATION UNDERWAY.***AS OF 01/11/2010 THIS ITEM IS NO LONGER REPORTABLE.***
More Information
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