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

Violations Alleged

Other
• Rule G-17 MSRB

Resolutions

Bars:
First Resolution Date
Headline Total Penalty and Disgorgement $25,000

Related Documents:

34-92370 09-Jul-2021 Administrative Proceeding
Order Instituting Administrative and Cease-And-Desist Proceeding Pursuant to Sections 15(b), 15(c), and 21(c) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order

Other Defendants in Action:

Hilltop Securities Inc.