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 |
|---|---|---|---|---|---|---|---|---|
| Yeong-Keng Chien | 3115021 | 1 | 08/14/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Chou | 5793138 | 1 | 12/15/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy M Ohara | 5642986 | 1 | 10/03/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Prakash Chandru Shahani | 4211906 | 1 | 06/26/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Grace Wit | 4915485 | 2 | 12/21/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Grace Wit | 4915485 | 2 | 12/21/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sai A Ng | 5427483 | 1 | 05/20/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kun Lin Chung | 5016139 | 1 | 10/21/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Catherine K Ng | 4126474 | 1 | 03/31/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ricardo Ramirez | 2143959 | 2 | 08/26/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |