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Sara Zhang Allegedly Failed to Disclose Bond Call Dates

Sara Zhang (CRD #: 6975430), a broker registered with HSBC Securities (USA), allegedly failed to fully inform a client, according to her BrokerCheck record, accessed on June 29, 2025. Read on for more information about her alleged conduct as a broker.

Investor Dispute

On April 29, 2025, an investor alleged that Sara Zhang failed to disclose that certain bonds had multiple call dates. These bonds were allegedly purchased in April 2024. The client seeks $100,000 in this pending dispute.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of manipulative, deceptive, or otherwise fraudulent tactics to influence investors’ decisions. This includes the misrepresentation or omission of information relating to investments, such as their limitations, requirements, or other features.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Sara Zhang has passed the following exams:

  • General Securities Representative Examination – Series 7TO
  • Securities Industry Essentials Examination – SIE
  • Investment Company Products/Variable Contracts Representative Examination – Series 6
  • Uniform Combined State Law Examination – Series 66
  • Uniform Securities Agent State Law Examination – Series 63

Sara Zhang is a registered broker in 11 states and a registered investment adviser in Florida, Pennsylvania, Texas, and Washington.

Kurta Law Can Help

If you worked with Sara Zhang and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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