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Tag: HSBC Securities

Blog, Securities Fraud Articles

HSBC and Scotiabank Fined for Recordkeeping Violations 

SEC Hits HSBC and Scotiabank with Hefty Fines for Recordkeeping Violations  According to the Securities and Exchange Commission, the...

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Blog, Securities Fraud Articles

FINRA Fines HSBC Securities For Unsuitable CMO Sales

FINRA recently announced that it has fined HSBC Securities (USA) Inc. $375,000 for recommending unsuitable sales of inverse floating rate...

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