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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey W Franklin | 2966187 | 5 | 03/02/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey W Franklin | 2966187 | 5 | 03/02/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey W Franklin | 2966187 | 5 | 03/02/2015 | Financial | Final | $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 | |
| Alfonso Montoya | 3131416 | 9 | 10/03/2014 | Financial | Final | $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 | |
| Emil Emilio Plataroti | 1856711 | 2 | 03/01/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alfonso Montoya | 3131416 | 9 | 09/06/2013 | Customer Dispute | Denied | $47,688.60 | $0.00 | See FINRA Report |
| Prakash Chandru Shahani | 4211906 | 1 | 06/26/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alfonso Montoya | 3131416 | 9 | 03/21/2013 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |