SCOTT ARTHUR GERDE is currently employed as a Broker and/or Investment Adviser at HSBC SECURITIES (USA) INC. located at 1 West 39th Street, 8th Floor, NEW YORK, NY, 10018.
SCOTT ARTHUR GERDE has worked at HSBC SECURITIES (USA) INC. since January 01, 2005
SCOTT ARTHUR GERDE has 3 Disclosure Event(s).
Date: August 26, 2015 Category: Customer Dispute Allegations: Customer alleges that Registered Representative failed to properly diversify her portfolio and also purchased Puerto Rico muni bonds that were not in line with her investment objectives. Damage Amount Requested: $107,000.00 Settlement Amount: $17,500.00 Broker Comment: Mr. Gerde vigorously denies the allegations in the Claim. He was neither named in the Claim, nor was he a party to the dispute. Mr. Gerde did not participate in nor contribute to the final settlement in any amount. Mr. Gerde understands that HSBC agreed to pay Claimant $17,500 in full and final settlement of any and all claims asserted in this action in order to avoid the costs of litigation..
Date: July 28, 2010 Category: Customer Dispute Allegations: CUSTOMER CLAIMS A HISTORY OF UNAUTHORIZED TRADES. CUSTOMER STATES THAT "NO ONE OBTAINED MY PERMISSION OR EVEN INFORMED ME OF THESE UNCONSCIONABLE TRANSACTIONS." Damage Amount Requested: $15,303.09
Date: December 20, 2007 Category: Customer Dispute Allegations: CUSTOMER ALLEGES TRANSACTIONS WERE DONE IN HER ACCOUNT WITHOUT HER KNOWLEDGE. Damage Amount Requested: $7,500.00
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for SCOTT ARTHUR GERDE, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More