Defendant Name:
HSBC Bank USA, N.A.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
HSBC Holdings plc
SIC Code:
6029
CUSIP:
40428040
Document Reference:
complaint_07-cv-22469
Document Details
Legal Case Name
SEC v. HSBC Bank USA, N.A.
Document Name
Complaint
Document Date
20-Sep-2007
Document Format
Civil Proceeding
Case Number
07-cv-22469
Federal District Court
Florida, Southern District of Florida
Federal District Judge
Patricia A. Seitz
Allegation Type
Issuer Reporting and Disclosure
Document Summary
The SEC stated: "During the Relevant Period, HSBC had procedures in place providing for the review of any materials using the HSBC name or logo. When reviewing Pension Fund's new marketing materials, HSBC failed to follow its own internal marketing approval procedures."