Brian A. Hazan of New York New York a stockbroker formerly employed by HSBC Securities (USA) Inc. is referenced in a customer initiated investment related written complaint on February 11, 2018 where the customer alleged that the customer’s investment funds had been misappropriated.
FINRA Public Disclosure additionally confirms that on May 22, 2008, a customer initiated investment related complaint regarding Hazan’s conduct was settled for $14,246.00 in damages based upon accusations that while Hazan was associated with Chase Investment Services Corp., unsuitable recommendations had been made to the customer concerning a variable annuity and the customer was not advised about tax liabilities pertaining to investment transactions.
Hazan’s registration with HSBC Securities was terminated on February 23, 2018.
The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.
This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
