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
Disclosure History
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
More Information
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