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 |
| Stephanie Nicole Treverton | 6560647 | 1 | 09/05/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jonnathan Mora | 5582209 | 2 | 03/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Fahs | 6045114 | 5 | 09/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Fahs | 6045114 | 5 | 08/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonnathan Mora | 5582209 | 2 | 05/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Fahs | 6045114 | 5 | 04/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Fahs | 6045114 | 5 | 09/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patricia Lorna Schneider | 2625743 | 2 | 07/20/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard A Harris | 6858595 | 1 | 05/09/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |