A former registered rep with HSBC Securities was ejected from the industry last week for failing to cooperate with an investigation into allegations that she stole money from a retail bank customer, according to a FINRA filing.
Emily S. Pao, who worked for HSBC in San Gabriel, Calif., was discharged from the firm in June 2015 for allegedly taking a check that was mailed to the customer, signing it, and depositing it into her own account with the intent of providing the funds to the customer. The funds, however, were never returned.
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