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…
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…
Fernando Batista Martins of Morristown New Jersey a stockbroker formerly registered with HSBC Securities (USA) Inc. is the subject of a customer initiated investment related written complaint on October 31, 2016 in which the customer requested $60,000.00 in damages founded on allegations that (1) transactions were placed in the customer’s account that were not suitable…
Luis Alberto Mendoza, of Washington, District of Columbia, a stockbroker formerly registered with HSBC Securities (USA) Inc., is the subject of a customer initiated investment related written complaint on July 20, 2015, where the customer sought $47,000.00 in damages supported by allegations that two variable universal life insurance policies were sold to the customers despite…
Emily S. Pao, a Stockbroker with HSBC Securities (USA), Inc., was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that Pao had refused to cooperate in an investigation into allegations of converting funds from a customer. Letter of Acceptance, Waiver, and Consent, No. 20150459320-01…