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Southwest Securities, Inc. Corporate Governance & Disclosures

Hilltop Holdings Inc.
Anonymous Reporting Hotline


Reporting of Policy Violations

From time to time, you may become aware of a situation or be confronted with a transaction that raises a concern of whether it complies with proper business, accounting or compliance practices. If you witness theft, fraud, dishonesty, harassment, unethical behavior or improper accounting practices, we strongly encourage you to report any such activity to your supervisor/manager, Human Resources Department, General Counsel, Audit Department or a member of the company's executive management team.

Complaints of policy violations will be promptly and carefully investigated, including interviews with all relevant persons. Investigators will conduct an objective investigation with consideration given to each employee's desire for privacy; however, no employee is guaranteed complete confidentiality and/or anonymity during an investigation. Only individuals with a legitimate "need to know" will be given any information regarding the complaint(s).

You are expected to fully cooperate in any investigation involving issues relating to the company's policies, procedures, property, or any other aspect of the company's business affairs.

If you are uncomfortable reporting it in person, SWS provides a third party, anonymous ethics and compliance hotline which provides a confidential channel for employees to alert us to errors and wrongdoings, via online or by telephone.

The hotline is employee - accessible 24 hours a day, 365 days a year.

To submit an anonymous report by telephone

  • Call the toll free hotline number, 1-800-461-9330
  • Provide the company name: Hilltop Holdings
  • A trained operator will guide you through a series of questions.
  • When responding to the operator, use as much factual detail as possible about the incident(s), including
    time(s), location(s) and the person or people involved.

To submit an anonymous report online

  • Go to www.MySafeWorkplace.com
  • Click on "Make a Report OnLine Now" button
  • Enter "Hilltop Holdings" in the Organization Search box and press the Search button
  • Select "Hilltop Holdings" from the dropdown menu and press the Next button
  • Follow the instructions to submit your report. Use as much factual detail as possible about the
    incident(s), including time(s), location(s) and the person or people involved.

 

 
 
 
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SWS Financial Services, Inc. is a member of FINRA and SIPC and is a Registered Investment Advisor.