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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement September 2023
25 Oct 2023, 12:49 pm by Silver Law Group
  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   Kenneth Klaiman   Raymond James & Associates, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Financial Institutions Fined for Discussing Deals and Trades Over Personal Apps
28 Nov 2022, 9:02 am by Jack Valladares
Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. [read post]
Griffin Durham Tanner Clarkson LLC Blog - https://griffindurham.com/blog/
Financial Institutions Fined for Discussing Deals and Trades Over Personal Apps
21 Nov 2022, 9:02 am by Jack Valladares
Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. [read post]
Griffin Durham Tanner Clarkson LLC Blog - https://griffindurham.com/blog/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement October 2022
11 Nov 2022, 9:28 am by Silver Law Group
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 Securities, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Supreme Court, Public Health, Safety and Economic Welfare
4 Oct 2022, 7:00 am by Steve Gottlieb
PSKS, Inc., 551 U.S. 877, 881 (2007); Credit Suisse Sec. [read post]
Constitutionalism & Democracy - http://constitutionalismanddemocracy.wordpress.com/
SEC Cracks down on 16 Wall Street Firms for Electronic Communications Failures 
28 Sep 2022, 12:37 pm by The White Law Group
  Credit Suisse Securities (USA) LLC  Deutsche Bank Securities Inc. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Securities and Exchange Commission charges six Wall Street firms with widespread recordkeeping failures and improper use of text messaging in violation of securities laws. Total penalties exceed $1.1 Billion
28 Sep 2022, 8:06 am by jeffreynewmanadmin
;Credit Suisse Securities (USA) LLC;Deutsche Bank Securities Inc. together with DWS Distributors Inc. and DWS Investment Management Americas, Inc. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
No Justice for Antitrust? SCOTUS Without Breyer
4 Feb 2022, 8:19 am by Zak Gowen
Empagran S.A., 542 U.S. 155 (2004); and Credit Suisse Securities (USA) LLC v. [read post]
Antitrust Today - https://constantinecannon.com/practice/antitrust-litigation-counseling/antitrust-today/
Confounded by Confounding in Unexpected Places
12 Dec 2021, 2:22 pm by admin
Credit Suisse Securities (USA) LLC, 752 F.3d 82, 89 (1st Cir. 2014) (affirming exclusion of expert witness who failed to account for confounding in event studies), aff’g 853 F. [read post]
Tortini - http://schachtmanlaw.com/blog/
Why You Can’t Sue Your Broadband Monopoly
5 Mar 2021, 1:45 pm by Ernesto Falcon
Trinko, LLP, and Credit Suisse Securities (USA) LLC v. [read post]
Deeplinks Blog - https://www.eff.org/deeplinks
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information August 2020
3 Sep 2020, 7:51 am by Silver Law Group
According to FINRA Disciplinary actions for July 2020, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Joanna Abdelhadi   Wells Fargo Clearing Services, LLC   Credit Suisse Securities (USA) LLC   Kenneth Butschek   ProEquities, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Trade Alert: Italy
3 Jul 2020, 6:43 am by Florence Campbell Jones
AnaCap Financial, Balbec, Banca IFIS and Guber Banca were amongst the buyers who closed deals with the four servicers managing the GACS SPVs; Prelios Credit Servicing, Cerved Credit Management, doValue, and Credito Fondiario. [read post]
Government Contracts Blog - http://brownrudnick.com/insights/government-contracts/
Securities Industry Commentator by Bill Singer Esq
12 Sep 2019, 1:06 am
 In the Matter of the Arbitration Between Credit Suisse Securities (USA) LLC, Claimant, v. [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Health Insurance Innovations, Inc. (HIIQ) Subject Of Class Action Lawsuit
16 May 2019, 7:37 am by Silver Law Group
The post Health Insurance Innovations, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
ANOTHER FORMER CREDIT SUISSE ADVISER REPRESENTED BY LAX & NEVILLE LLP WINS A FINRA ARBITRATION AWARD AGAINST CREDIT SUISSE SECURITIES (USA) LLC IN THE DEFERRED COMPENSATION ARBITRATIONS
15 Nov 2018, 2:49 pm by Lax & Neville LLP
Credit Suisse Securities (USA) LLC, FINRA Case No. 17-01277  Credit Suisse raised a mitigation defense based upon compensation Mr. [read post]
New York Securities Lawyer Blog - http://www.newyorksecuritieslawyerblog.com/
Confounding in Daubert, and Daubert Confounded
4 Nov 2018, 10:56 am by Schachtman
Credit Suisse Sec. [read post]
Tortini - http://schachtmanlaw.com/blog/
Jury, Not Judge, Must Decide Meaning of Representations
18 Oct 2018, 12:22 pm by Kenneth Duvall
Credit Suisse Sec. [read post]
Mortgage Crisis & Financial Services Watch - http://www.financialserviceswatchblog.com/
SEC News - Fraud Charges, Failure to Report Suspicious Trading, and Misleading Investors
5 Oct 2018, 8:25 am by SEClaw Staff
Credit Suisse Agrees to Pay $10 Million to Settle Charges Related to Handling of Retail Customer OrdersCredit Suisse Securities (USA) LLC has agreed to settle charges brought by the SEC and the Office of the New York Attorney General regarding material misrepresentations and omissions made in connection with its now-closed Retail Execution Services (RES) business’ handling of certain customer orders.SEC Charges LendingClub Asset Management and Former… [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC News - Fraud Charges, Failure to Report Suspicious Trading, and Misleading Investors
5 Oct 2018, 8:25 am by SEClaw Staff
Credit Suisse Agrees to Pay $10 Million to Settle Charges Related to Handling of Retail Customer OrdersCredit Suisse Securities (USA) LLC has agreed to settle charges brought by the SEC and the Office of the New York Attorney General regarding material misrepresentations and omissions made in connection with its now-closed Retail Execution Services (RES) business’ handling of certain customer orders.SEC Charges LendingClub Asset Management and Former… [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Share Class Selection Disclosure Initiative
28 Jun 2018, 7:23 am by Doug Cornelius
No. 4736 (Aug. 1, 2017); In the Matter of Credit Suisse Securities (USA) LLC, Investment Advisers Act Rel. [read post]
Compliance Building - http://www.compliancebuilding.com