HSBC BROKERAGE INC.
Regulator actionUnited States. Named in 3 sanctions listings.
Sanctions and listings3
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/22/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.E102004098801 TO: Department of Enforcement NASD RE: HSBC Brokerage (USA) Inc. Respondent Broker-Dealer (BD No. 6956) Pursuant to Rule 9216 of NASD Code of Procedure, HSBC Brokerage (USA) Inc. ("HSBC Brokerage" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will
Reference E102004098801data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/17/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050001900 TO: Department of Market Regulation NASD RE: HSBC Securities (USA) lnc. f/k/a HSBC Brokerage (USA) Inc. BD No. 19585 Pursuant to Rule 9216 of the NASD Code of Procedure, HSBC Securities (USA) Inc. (the "firm" or "HSBC") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not
Reference 2005000190002data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/20/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2005002337401 TO: Department of Enforcement NASD RE: HSBC Brokerage (USA), Inc. (BD No. 6956) now known as HSBC Securities (USA), Inc. (BD No. 19585) Pursuant to Rule 9216 of NASD Code of Procedure, HSBC Brokerage (HBI, Respondent 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 in Part II below. This AWC is submitted on the condition that, if accepted,
Reference 2005002337401data-portal.finra.orgfinra.org
Other names1
Also known as1
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.