Articles Tagged with HSBC SECURITIES (USA) INC.

There are Recent Customer Complaints with Broker Rong Zhang in Firm HSBC Securities (usa) INC.

June 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rong Zhang (Zhang), currently associated with HSBC Securities (usa) INC., has at least one disclosable event. These events include one customer complaint, alleging that Zhang recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on April 29, 2025.

Client alleges RR did not disclose that the bonds they purchased had multiple call dates at point of sale in April of 2024.

HSBC Securities (USA) Inc. Broker Li Kelly Has Customer Complaint

January 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Li Kelly (Kelly), previously associated with HSBC Securities (USA) Inc., has at least one disclosable event. These events include one customer complaint, alleging that Kelly recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on December 23, 2024.

Claims loss due to corporate bond investment in which issuer declared bankruptcy, claiming breach of contract, breach of fiduciary duty, vicarious liability. Investments were made in 2019-2020.