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HSBC Securities

Jaime R. Rodriguez- Former Cuso Financial Services Broker – Permanently Barred from Industry by FINRA for Stealing from Elderly, Blind Customer- Port Chester, NY

Jaime R. Rodriguez- Former Cuso Financial Services Broker – Permanently Barred from Industry by FINRA for Stealing from Elderly, Blind Customer- Port Chester, NY 150 150 Rex Securities Law

September 2019 – Port Chester, NY The FINRA records of  Jamie R. Rodriguez,  a  former stockbroker who was last employed by Cuso Financial Services disclose he  has been barred from the securities industry…

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Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute

Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute 150 150 Rex Securities Law

New York According to FINRA records,  Maria Fan,   a stockbroker who most recently worked for Wilmington Capital Securities, but is not currently registered with any firm,   discloses  a currently pending customer dispute and 2 prior…

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HSBC Securities Broker Barred From Securities Industry by Regulator

HSBC Securities Broker Barred From Securities Industry by Regulator 150 150 Rex Securities Law

August 6, 2015- Thousand Oaks, CA Gehrin Michael Ortiz , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to disclose…

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