FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Datesort ascending
Case ID 2007010582702 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007010582702 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA) Inc. CRD No. 19585. Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, HSBC Securities (USA) Inc. (''HSI" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Action Date 06/10/2010