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Securities
Violation of the Protocol for Broker Recruiting
Misappropriation of Confidential Client Information and Proprietary Business Information

Southwest Securities Inc. n/k/a Hilltop Securities Inc. v. Wyatt Thomas Farmer; Harvey Frank; Andrew Scott Harvey; Barry Edward Kersh; Brett David Levinson; Carla Renee Osbourne; Stifel, Nicolaus & Co. Inc.

Published: Oct. 6, 2017 | Result Date: Aug. 10, 2017 | Filing Date: Oct. 19, 2015 |
Case number: FINRA 15-02863 Arbitration –  Claimant

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