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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Hilltop Holdings
Ownership Structure: publicly traded (ticker symbol HTH)
Headquartered in: Texas
Major Industry: financial services
Specific Industry: banking, brokerage and insurance
Penalty total since 2000$17,325,899
Number of records: 13
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$13,706,37611
consumer-protection-related offenses$3,619,5232
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$13,675,59610
mortgage abuses$2,000,0001
consumer protection violation$1,619,5231
banking violation$30,7801
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon
Southwest Securities, Inc.investor protection violation2005SEC$10,000,000
PrimeLendingmortgage abuses2010DOJ_RIGHTS$2,000,000
PrimeLending, A PlainsCapital Companyconsumer protection violation2016CA-DFPI$1,619,523
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.investor protection violation2019SEC$810,785
Southwest Securities, Inc.investor protection violation2011FINRA$650,000
Southwest Securities, Inc.investor protection violation2011FINRA$500,000
Southwest Securities Inc.investor protection violation2000FINRA$500,000
Southwest Securities, Inc.investor protection violation2010SEC$470,147
Hilltop Securities Inc.investor protection violation2016SEC$360,000
Hilltop Securities Inc.investor protection violation2021SEC$340,193
Southwest Securities, Inc.investor protection violation2004FINRA$36,971
PlainsCapital Bank and PrimeLendingbanking violation2011FED$30,780
Southwest Securities, Inc.investor protection violation2012IL-SEC$7,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.