Violation Tracker Parent Company Summary

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: 
$15,364,660
Number of records: 
10
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$13,679,2127
consumer-protection-related offenses$1,685,4483
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$11,648,4325
mortgage abuses$2,000,0001
consumer protection violation$1,619,5231
insurance violation$65,9252
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.

Associated Names: 

American Summit Insurance Co.; Hilltop Securities Inc.; Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.; National Lloyds Insurance Co.; PlainsCapital Bank and PrimeLending; PrimeLending; PrimeLending, A PlainsCapital Company; Southwest Securities, Inc.


Individual Penalty Records:

Click on the company or penalty amount for more information on each case.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Primary Offense Type Year Agency Penalty Amountsort icon
Southwest Securities, Inc. investor protection violation 2005 SEC $10,000,000
PrimeLending mortgage abuses 2010 DOJ_RIGHTS $2,000,000
PrimeLending, A PlainsCapital Company consumer protection violation 2016 CA-DBO $1,619,523
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. investor protection violation 2019 SEC $810,785
Southwest Securities, Inc. investor protection violation 2010 SEC $470,147
Hilltop Securities Inc. investor protection violation 2016 SEC $360,000
National Lloyds Insurance Co. insurance violation 2009 MO-INS $40,925
PlainsCapital Bank and PrimeLending banking violation 2011 FED $30,780
American Summit Insurance Co. insurance violation 2013 AZ-INS $25,000
Southwest Securities, Inc. investor protection violation 2012 IL-SEC $7,500
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)