Search for: "Credit Suisse Securities LLC"
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13 Dec 2023, 1:05 pm
The Securities and Exchange Commission today announced that Credit Suisse Securities (USA) LLC and two affiliated Credit Suisse entities (collectively, the Credit Suisse Entities) agreed to pay more than $10 million to settle the SEC’s charges that they…Read the Full Press Release Have a securities law question? [read post]
7 Dec 2023, 10:03 am
On November 16, 2023, the United States District Court for the Southern District of New York entered judgment on a FINRA Arbitration Award against Credit Suisse Securities (USA) LLC, ordering it to pay more than $1.3 million to an investment advisor formerly employed by its now-closed US private bank. [read post]
25 Oct 2023, 12:49 pm
PRIMEX Adam Ezrilov LPL Financial LLC RBC Capital Markets, LLC Samuel Girgiss Spartan Capital Securities, LLC Worden Capital Management LLC Dennis Hanrahan Spartan Capital Securities, LLC John Thomas Financial Timothy Henry Wells Fargo Clearing Services, LLC Credit Suisse Securities (USA) LLC … [read post]
21 Aug 2023, 9:42 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
9 May 2023, 11:55 am
Recently, Credit Suisse had issued $17 billion worth of these Coco’s contingent convertible bonds. [read post]
24 Apr 2023, 5:58 am
Credit Suisse Securities (USA) LLC, FINRA No. 20-02093. [read post]
22 Mar 2023, 12:52 pm
The collapse of the banks in the United States, whether it’s the Silicon Valley Bank, Signature Bank, Credit Suisse, there’s got a lot that’s got everyone talking, reminiscent of the banking collapse in 2008. [read post]
22 Mar 2023, 9:29 am
The post Zamansky LLC Investigates Potential Investment Fraud Claims Arising From the $17 Billion Write-Down of Credit Suisse Contingent Convertible (CoCo) Bonds appeared first on Zamansky LLC. [read post]
20 Mar 2023, 11:59 am
National Securities Attorneys If you invested in Credit Suisse 7.500% Perpetual Corp. [read post]
9 Feb 2023, 11:21 am
Credit Suisse Securities (USA) LLC, FINRA No. 20-03957. [read post]
1 Feb 2023, 2:39 pm
In a key precedent-setting ruling, the SEC’s order found that BlockFi Interest Accounts were securities that should have been registered under U.S. securities laws. [read post]
10 Jan 2023, 7:39 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
9 Jan 2023, 9:01 pm
In addition to the company, the settlement resolves allegations against its officers and directors, as well as the various underwriters of the IPO and SPO, including Credit Suisse. [read post]
5 Jan 2023, 2:22 pm
In addition to the company, the settlement resolves allegations against its officers and directors, as well as the various underwriters of the IPO and SPO, including Credit Suisse. [read post]
28 Nov 2022, 9:02 am
Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. [read post]
21 Nov 2022, 9:02 am
Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. [read post]
11 Nov 2022, 9:28 am
According to FINRA Disciplinary actions for October 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Todd Kalish Park Edge Advisors, LLC McDonald Partners LLC Nicolas Lumermann Morgan Stanley Credit Suisse Securities (USA) LLC Jeff McElroy BOK Financial… [read post]
13 Oct 2022, 1:55 pm
Mezrahi is co-founder and CEO and Sigrist is Vice President of Data Science at SAR LLC. [read post]
28 Sep 2022, 12:37 pm
Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. [read post]
28 Sep 2022, 8:06 am
;Credit Suisse Securities (USA) LLC;Deutsche Bank Securities Inc. together with DWS Distributors Inc. and DWS Investment Management Americas, Inc. [read post]
