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: Securities Law Prof Blog

FiNRA Fines HSBC Securities (USA) for Unsuitable Sales of Risky CMOs

By Securites Lawprof

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FINRA fined HSBC Securities (USA) Inc. $375,000 for recommending unsuitable sales of inverse floating rate Collateralized Mortgage Obligations (CMOs) to retail customers. HSBC failed to adequately supervise the suitability of the CMO sales and fully explain the risks of an...

Full post as published by Securities Law Prof Blog on August 19, 2010 (boomark / email).

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