Brian David Schwartz of New York New York a stockbroker currently registered with HSBC Securities (USA) Inc. is the subject of a customer initiated investment related complaint which was settled on July 30, 2019 for $11,105.25 in damages based upon allegations that the amount of stock Schwartz purchased in an initial public offering failed to…
Brian David Schwartz of New York New York a stockbroker currently employed by HSBC Securities (USA) Inc. is referenced in a customer initiated investment related written complaint which was resolved for $10,000.00 on October 3, 2017 supported by allegations that transactions were placed in the customer’s account that were not suitable for the customer because…