Defendant Name:
Daniel C. Tracy
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Hilltop Securities Inc. and Daniel C. Tracy
First Document Date
09-Jul-2021
Initial Filing Format
Administrative Action
File Number
3-20389
Allegation Type
Municipal Securities & Public Pensions
Affiliations
- Current: Broker/Registered Representative at Hilltop Holdings Inc. (From 2014)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 12 months
First Resolution Date
Headline Total Penalty and Disgorgement
See Related Documents
Other Defendants in Action: