Have a Claim?

Click here for a confidential contact or call:


November 25, 2014

Posted  January 26, 2016

The SEC charged HSBC’s Swiss-based private banking arm HSBC Private Bank (Suisse) with violating federal securities laws by failing to register with the SEC before providing cross-border brokerage and investment advisory services to U.S. clients.  The bank admitted wrongdoing and agreed to pay $12.5M to settle the SEC’s charges.  SEC

Tagged in: Regulatory Violations, Securities Fraud,