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Recent Posts in HSBC Category

Daniel Liang Fined & Suspended for Falsifying HSBC Documents, Requesting Customers Sign Blank/Incomplete Mutual Fund Forms

FINRA suspended former HSBC Securities (Pasadena, CA) broker Daniel Kahhong Liang and fined him $5,000 for falsifying multiple documents, including modifying several items after customers had signed ...
Continue reading "Daniel Liang Fined & Suspended for Falsifying HSBC Documents, Requesting Customers Sign Blank/Incomplete Mutual Fund Forms" »

Emily S Pao Barred for Failure to Cooperate with Conversion Investigation

FINRA barred former HSBC Securities broker Emily S Pao of HSBC's San Gabriel, California branch for refusing to cooperate with FINRA's investigation into allegations that Pao improperly ...
Continue reading "Emily S Pao Barred for Failure to Cooperate with Conversion Investigation" »

Gehrin Michael Ortiz Barred After Investigation into Material Disclosure Violations and Omissions

FINRA barred former HSBC Securities USA, Inc. broker Gehrin Michael Ortiz of Pasadena, California, for failing to cooperate with an investigation into allegations that Ortiz failed to disclose ...
Continue reading "Gehrin Michael Ortiz Barred After Investigation into Material Disclosure Violations and Omissions" »

Swiss HSBC Private Bank Admits Wrongdoing, to Pay $12.5 Million for Providing Unregistered Brokerage in USA

HSBC Private Bank (Suisse) and the Securities and Exchange Commission settled for $12.5 million over charges that the Swiss banking unit provided illegal advisory and other financial services to ...
Continue reading "Swiss HSBC Private Bank Admits Wrongdoing, to Pay $12.5 Million for Providing Unregistered Brokerage in USA" »

Disgraced HSBC Rep Ann Maria Ferrao Barred After Alleged Misappropriation of Funds

FINRA barred HSBC Securities (USA), Inc. broker Ann Maria Ferrao following an investigation into allegations that she misappropriated funds from client's bank accounts for the benefit of other ...
Continue reading "Disgraced HSBC Rep Ann Maria Ferrao Barred After Alleged Misappropriation of Funds" »
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