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 |
|---|---|---|---|---|---|---|---|---|
| Cheng Aik Ong | 5317599 | 1 | 05/28/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Verveniotis | 2554596 | 1 | 09/28/2001 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Alfonso Montoya | 3131416 | 9 | 08/06/2001 | Customer Dispute | Closed-No Action | $31,500.00 | $0.00 | See FINRA Report |
| Ricardo Ramirez | 2143959 | 2 | 04/02/1998 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Ricardo Ramirez | 2143959 | 2 | 08/26/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Aniello Gino Fabi | 2446575 | 1 | 05/03/1995 | Customer Dispute | Award / Judgment | $6,289.50 | $6,364.50 | See FINRA Report |
| Alexei Georgievich Remizov | 4949723 | 1 | 09/08/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |