Tarek D. Bahgat, a former investment advisor associated with Gradient Securities, LLC (CRD# 127701), is facing serious allegations of misappropriating approximately $378,000 from his clients. The Securities and Exchange Commission (SEC) has filed a civil injunctive action against Bahgat in the United States District Court for the Southern District of New York, which could have […]

FINRA has recently disclosed a pending customer dispute against Diogo Holstein, a broker and investment advisor associated with HSBC SECURITIES (USA) INC. (CRD 19585). The allegation, filed on August 22, 2023, claims that the customer is dissatisfied with Holstein’s investment advice and has suffered losses after requesting a low-risk investment. The dispute involves mutual funds