Published On: October 9, 2015

Stoltmann Law Offices is investigating Emily S. Pao, a former registered representative with HSBC Securities. She entered into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority (FINRA). FINRA alleged that Pao converted funds from a retail bank customer, which is against securities rules and regulations. FINRA subsequently barred her from the industry. Pao was registered with WMA Securities in Duluth, Georgia from September 1996 until April 2002, World Group Securities in San Gabriel, California from April 2002 until January 2012, Transamerica Financial Advisors in San Gabriel from January 2012 until December 2012 and HSBC Securities in San Gabriel from October 2012 until June 2015. She is not currently licensed and FINRA permanently barred her from acting as a broker or otherwise associating with firms that sell securities to the public.

If you or someone you know invested money with Emily S. Pao, please call our Chicago-based securities law firm at 312-332-4200 for a free consultation with an attorney. There is no obligation. We sue firms such as her former firm, HSBC, in the FINRA arbitration forum in order to recover money for investors. We take cases on a contingency fee basis only, so we only receive money if you recover your losses.

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