HSBC SECURITIES (USA) INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 19585). Regulatory assets under management: $3.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: Pooled vehicles, Charities, Investment cos, Other.
Showing 25 of 78 people.
| Name | Role | Location |
|---|---|---|
| John Farrell | HEAD OF OPERATIONS/PRINCIPAL OPERATIONS OFFICER | New York, NY |
| KELLY PATRICK | DIRECTOR | MONTREAL, A8 |
| Watts B Michael | CHIEF FINANCIAL OFFICER | Savannah, GA |
| Oresta I Mehta | DIRECTOR | — |
| Ian G Shaw | MANAGING DIRECTOR, HEAD OF US WPB COMPLIANCE AND CHIEF COMPLIANCE OFFICER OF RIA | — |
| Dustin Natale | CHIEF COMPLIANCE OFFICER (BD) AND HEAD OF MSS COMPLIANCE | — |
| Sara Faye Buscaglia | DIRECTOR | — |
| Daniel S Palomaki | INTERIM CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER | — |
| Anthony Pecorella | INTERIM HEAD OF OPERATIONS / PRINCIPAL OPERATIONS OFFICER; US HEAD OF OPERATIONS / PRINCIPAL OPERATIONS OFFICER | — |
| Cary Longstreth Goodwin | PRESIDENT/CEO/DIRECTOR | — |
| Michael K Wirgin | GENERAL COUNSEL | — |
| Jason Ryan Henderson | PRESIDENT/CEO/DIRECTOR | — |
| Seth P Bender | GENERAL COUNSEL | — |
| Ethan I Babayev | CHIEF FINANCIAL OFFICER | — |
| Trevor C Chambers | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | — |
| RUGGIERO JOHN HENRY | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISER | — |
| MURPHY LEO JOHN | CEO/DIRECTOR; DIRECTOR | — |
| KELLY DANIEL JOSEPH | DIRECTOR | — |
| MALONEY TIMOTHY PATRICK | SROP | — |
| JONES THOMAS D | CHIEF OPERATING OFFICER/DIRECTOR | — |
| IRELAND ANDREW DAVID | DIRECTOR | — |
| FUTTER DAVID I | DIRECTOR | — |
| WONG WILLIAM | CCO/MANAGING DIRECTOR/HEAD OF COMPLIANCE CIBM, NORTH AMERICA; CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR/HEAD OF COMPLIANCE CIBM, NORTH AMERICA; DIRECTOR (+2 more) | — |
| EMERSON MICHAEL WILLIAM | GENERAL COUNSEL | — |
| AGONIS SUSAN PACH | CROP | — |
Showing 10 of 94 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-10-29 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THEENTRY OF FINDINGS THAT IT FAILED TO TIMELY REPORT TO TRACE TRANSACTIONS IN TRACE-ELIGIBLECORPORATE DEBT SECURITIES. THE FINDINGS STATED THAT THE FIRM'S LATE REPORTING WAS CAUSED BY,AMONG OTHER THINGS, DELAYS ASS… | Final | $125K |
| 2023-10-09 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT PUBLISHED EQUITY AND DEBT RESEARCH REPORTS THAT CONTAINED INACCURATE DISCLOSURES ABOUT ITS CONFLICTS OF INTEREST. THE FINDINGS STATE THAT THE FIRM'S DISCLOSURE INACCURACIES COMPRISED O… | Final | $2.0M |
| 2023-05-11 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") AND SECURITIES AND EXCHANGE COMMISSION ("SEC") ISSUED ORDERS FINDING THAT CERTAIN MEMBERS OF THE HSBC GROUP VIOLATED RECORD-KEEPING RULES UNDER THE SECURITIES EXCHANGE ACT AND COMMODITIES EXCHANGE ACT BY FAILING TO PREVENT EMPLOYEES FROM USING UNAPPR… | Final | $30.0M |
| 2023-05-11 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") AND SECURITIES AND EXCHANGE COMMISSION ("SEC") ISSUED ORDERS FINDING THAT CERTAIN MEMBERS OF THE HSBC GROUP VIOLATED RECORD-KEEPING RULES UNDER THE SECURITIES EXCHANGE ACT AND COMMODITIES EXCHANGE ACT BY FAILING TO PREVENT EMPLOYEES FROM USING UNAPPR… | Final | $15.0M |
| 2022-07-29 | regulatory | HSBC SECURITIES (USA), INC. FAILED TO NOTIFY AND SUPPLY REQUIRED DATA AS TO A MATERIAL CHANGE (CHANGE IN THE COO) ON FEBRUARY 16, 2022. THEREFORE, PURSUANT TO THEIR RESPECTIVE RULES AND PROCEDURES, DTC, NSCC AND GSC (COLLECTIVELY THE "CLEARING AGENCIES) ARE IMPOSING A SINGLE FINE OF $5000.00 FOR FAI… | Final | $2K |
| 2022-06-16 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO TAKE REASONABLE STEPS TO ENSURE THAT INTERMARKET SWEEP ORDERS (ISOS) IT ROUTED TO CERTAIN MARKET CENTERS MET THE REQUIREMENTS SET FORTH IN RULES 600(B)(30) AND 600(B)(31) OF… | Final | $17K |
| 2022-06-16 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO TAKE REASONABLE STEPS TO ENSURE THAT INTERMARKET SWEEP ORDERS (ISOS) IT ROUTED TO CERTAIN MARKET CENTERS MET THE REQUIREMENTS SET FORTH IN RULES 600(B)(30) AND 600(B)(31) OF… | Final | $10K |
| 2022-06-16 | regulatory | NYSE CHICAGO, INC. ("NYSE CHICAGO" OR THE "EXCHANGE"), PURSUANT TO ARTICLE 12, RULE 1(D) OF THE RULES OF EXCHANGE, IN LIEU OF FILING CHARGES, HEREBY ENTERS THIS ORDER AGAINST RESPONDENT HSBC SECURITIES (USA) INC. ("HSBC," "RESPONDENT," OR THE "FIRM") INSTITUTING PROCEEDINGS, ACCEPTING AN OFFER OF SE… | Final | $10K |
| 2022-06-16 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO TAKE REASONABLE STEPS TO ENSURE THAT INTERMARKET SWEEP ORDERS (ISOS) IT ROUTED TO CERTAIN MARKET CENTERS MET THE REQUIREMENTS SET FORTH IN RULES 600(B)(30) AND 600(B)(31) OF… | Final | $21K |
| 2022-06-09 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THEENTRY OF FINDINGS THAT IT FAILED TO TAKE REASONABLE STEPS TO ENSURE THAT INTERMARKET SWEEPORDERS (ISOS) IT ROUTED TO CERTAIN MARKET CENTERS MET THE REQUIREMENTS SET FORTH IN RULES600(B)(30) AND 600(B)(31) OF REG… | Final | $19K |