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 |
|---|---|---|---|---|---|---|---|---|
| Svitlana Girone | 5152001 | 2 | 11/13/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alfonso Montoya | 3131416 | 9 | 09/03/2012 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Svitlana Girone | 5152001 | 2 | 08/07/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alfonso Montoya | 3131416 | 9 | 06/25/2012 | Customer Dispute | Denied | $30,000.00 | $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 | |
| Michael Edward Morrison | 4388883 | 1 | 10/07/2011 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Raymond S Steele | 2209421 | 2 | 09/07/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter Joseph Curtin | 2550938 | 1 | 01/19/2011 | Customer Dispute | Denied | $159,240.00 | $0.00 | See FINRA Report |
| David Jonathan Wilcox | 4317735 | 1 | 12/01/2010 | Customer Dispute | Settled | $33,422.90 | $0.00 | See FINRA Report |