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Securities
Breach of Fiduciary Duty
Constructive Fraud

David L. Valponi, individually, as trustee of the Valponi Revocable Trust dtd 2/24/98, as trustee of the Valponi Family Irrevocable Trust FBO Erica Valponi, and as trustee of the Valponi Family Irrevocable Trust FBO Alicia Valponi dtd 07/21/98 Elizabeth L. Valponi, individually, as trustee of the Valponi Revocable Trust dtd 2/24/98, as trustee of the Valponi Family Irrevocable Trust FBO Erica Valponi, and as trustee of the Valponi Family Irrevocable Trust FBO Alicia Valponi dtd 07/21/98 v. Hilltop Securities Inc.

Published: Apr. 17, 2020 | Result Date: Feb. 20, 2020 | Filing Date: Jun. 7, 2018 |
Case number: FINRA: 18-02136 Arbitration –  $699,364

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