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WARNING! Impending Investigation: EMILY S. PAO and HSBC SECURITIES

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09
Oct

WARNING! Impending Investigation: EMILY S. PAO and HSBC SECURITIES

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WARNING!  Impending Investigation:  EMILY S. PAO and HSBC SECURITIES

Emily S. Pao and HSBC Securities

Have you lost money with financial advisor Emily Pao of San Gabriel, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Emily S. Pao. FINRA barred Pao from the securities industry, after she failed to respond to a FINRA investigation that she converted or stole money from at least one customer.

Emily S. Pao was a financial advisor and registered representative of HSBC Securities from October 2012 to June 2015.  She worked at a branch office in San Gabriel, California.

Brokerage firms like HSBC Securities have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.

 

If you lost money with Emily S. Pao or HSBC Securities, please Contact Us at 720-599-3505 for a free evaluation of your case.

 

Click to view:  Pao FINRA AWC

Click to view:  Pao BrokerCheck 10.8.15

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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