HSBC Broker Accused Of Stealing
Brian A. Hazan of New York New York a stockbroker formerly employed by HSBC Securities (USA) Inc. is referenced in a customer initiated investment related written complaint on February 11, 2018 where the customer alleged that the customer’s investment funds had been misappropriated.
FINRA Public Disclosure additionally confirms that on May 22, 2008, a customer initiated investment related complaint regarding Hazan’s conduct was settled for $14,246.00 in damages based upon accusations that while Hazan was associated with Chase Investment Services Corp., unsuitable recommendations had been made to the customer concerning a variable annuity and the customer was not advised about tax liabilities pertaining to investment transactions.
Hazan’s registration with HSBC Securities was terminated on February 23, 2018.
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