Our Staff has compiled our research into a database of FINRA Broker Disclosures for HSBC Securities (USA) Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| John Patrick Sulit | 4212805 | 2 | 08/23/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| John Patrick Sulit | 4212805 | 2 | 05/22/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephanie Nicole Treverton | 6560647 | 1 | 09/05/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Diogo Sousa Holstein | 5712259 | 1 | 08/22/2023 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Rafael Alberto Cortez Bernal | 6712291 | 1 | 11/18/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sandra Michelle Wagman | 4081576 | 1 | 11/17/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Malamud | 1619724 | 1 | 12/30/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wendy F Feng | 2786691 | 1 | 08/02/2021 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Lin Lin | 6678237 | 1 | 03/24/2021 | Customer Dispute | Denied | $12,542.90 | $0.00 | See FINRA Report |
| Dion Ross | 5120424 | 2 | 07/16/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |