Search for: "Credit Suisse Securities LLC"
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20 Mar 2023, 11:59 am
National Securities Attorneys If you invested in Credit Suisse 7.500% Perpetual Corp. [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]
31 May 2011, 6:26 am
The Financial Industry Regulatory Authority has hit Credit Suisse Securities LLC with a $4.5 million fine and Merrill Lynch with a $3 million fine for not properly representing data and supervising the residential subprime mortgage securitizations they sold.The fines, which were announced by independent regulator FINRA on Thursday, were for improper handling that took place at the firms in 2006 [read post]
5 Mar 2012, 7:02 am
If you have questions about investments you made with Credit Suisse Securities (USA) LLC, the securities attorneys of The White Law Group may be able to help. [read post]
5 Mar 2012, 7:02 am
If you have questions about investments you made with Credit Suisse Securities (USA) LLC, the securities attorneys of The White Law Group may be able to help. [read post]
27 Jan 2022, 8:45 am
, Credit Suisse Securities (USA) LLC v. [read post]
31 Jan 2016, 1:43 pm
The Securities and Exchange Commission today announced that Barclays Capital Inc. and Credit Suisse Securities (USA) LLC have agreed to settle separate cases finding that they violated federal securities laws while operating alternative trading systems known as dark pools and Credit Suisse’s Light Pool.The New York Attorney General’s office is announcing parallel actions against the two firms.Barclays agreed to… [read post]
26 Mar 2012, 11:20 am
10-1261 Credit Suisse Securities (USA), LLC, v. [read post]
23 Mar 2022, 6:36 am
It is alleged that Credit Suisse Securities, LLC and UBS Financial Services, Inc. failed to perform the necessary due diligence on these investments prior to recommending them to these particular investors. [read post]
5 Sep 2008, 1:21 pm
A superseding indictment was unsealed charging Julian Tzolov, 35, and Eric Butler, 36, former brokers at Credit Suisse Securities (USA) LLC, with conspiracy, securities fraud, and wire fraud. [read post]
22 Sep 2022, 12:03 pm
On September 9, 2022, the Superior Court of the State of California entered judgment on a FINRA Arbitration Award against Credit Suisse Securities (USA) LLC, ordering it to pay more than $10 million to seven investment advisors formerly employed in the Los Angeles and San Francisco branches of its now-closed US private bank. [read post]
15 Jun 2011, 8:37 pm
Credit Suisse Securities (USA) LLC, 2d Cir., No. 10-3847-cv, 6/2/11, the US U.S. [read post]
2 Jan 2013, 10:58 am
On November 20, 2012, the New York Attorney General, Eric Schneiderman, along with the Residential Mortgage-Backed Securities (RMBS) Working Group filed a Martin Act complaint against Credit Suisse Securities LLC. [read post]
2 Apr 2020, 7:49 am
Credit Suisse High Yield Bond Fund, Inc. is a closed ended fixed income mutual fund launched and managed by Credit Suisse Asset Management, LLC. [read post]
25 Feb 2009, 1:55 pm
Credit Suisse Securities (USA) LLC (Respondent), Case Number: 08-00512, FINRA Credit Suisse [read post]
18 Jun 2007, 8:11 am
Credit Suisse Securities (USA) LLC v. [read post]
27 May 2011, 8:45 am
The Financial Industry Regulatory Authority (FINRA) has fined Credit Suisse Securities (USA) LLC $4.5 million, and Merrill Lynch $3 million. [read post]
18 Feb 2009, 4:20 am
The dispute arises from Credit Suisse's alleged failure to comply with STMicroelectronics' request that Credit Suisse to invest its client's funds in student loan securities backed by U.S. government guarantees. [read post]
12 Feb 2011, 4:21 pm
Credit Suisse Securities (USA) LLC (CS) broker Eric Butler is permanently barred from future violations of securities laws. [read post]
16 Sep 2008, 9:03 pm
The investigation of Credit Suisse was lead by the North Carolina Secretary of State and Securities Commissioner. [read post]
