TIMOTHY C FABIO is currently employed as a Broker and/or Investment Adviser at HSBC SECURITIES (USA) INC. located at 452 FIFTH AVENUE, 6TH FLOOR, NEW YORK, NY, 10018.
TIMOTHY C FABIO has worked at HSBC SECURITIES (USA) INC. since April 18, 2016
Disclosure History
TIMOTHY C FABIO has 2 Disclosure Event(s).
Date: November 17, 2003 Category: Customer Dispute Allegations: UNSUITABLE INVESTMENTS, FRAUD, MISREPRESENTATION OF RISK, FALSE STATEMENTS. Damage Amount Requested: $380,000.00 Settlement Amount: $47,500.00 Broker Comment: A BUSINESS DECISION WAS MADE FOR A PRE-ARBITRATION SETTLEMENT OF $47,500. NO WRONG DOING WAS FOUND ON THE PART OF THE REGISTERED REPRESENTATIVE OR CISC.
Date: February 10, 1998 Category: Customer Dispute Allegations: CUSTOMER CLAIMED HE SUSTAINED A $9,303.50LOSS ON HIS 1992 INVESTMENT AND THAT HE WAS NOT INFORMED THATDIVIDENDS RECEIVED WERE TAXABLE. Damage Amount Requested: $9,303.50 Broker Comment: CUSTOMER'S CLAIMS WERE DENIED. CUSTOMERRECEIVED YEAR END TAX STATEMENTS FROM THE FUND COMPANY SINCE1992 DISCLOSING THAT DIVIDENDS RECEIVED WERE ORDINARY INCOME.CUSTOMER PLACED IN AN "UNSOLICITED" SALE ORDER OF THE FUND ONSEPT. 26, 1997 AND INCURRED THE STATED LOSS.NOT PROVIDED
More Information
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 TIMOTHY C FABIO, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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 Removal
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.