Search for: "Credit Suisse Securities (USA), LLC"
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3 Jul 2020, 6:43 am
SECURITY AND TRUSTS / AGENCY Trusts and parallel debt structures are not recognised or tested in Italy and lenders must generally hold security. [read post]
22 Jun 2020, 4:49 pm
The US Supreme Court case to read for this antitrust exemption is Credit Suisse Securities (USA) LLC v. [read post]
31 Mar 2020, 3:41 pm
Credit Suisse Securities (USA) LLC, FINRA No. 17-01489. [read post]
17 Feb 2020, 6:48 am
He then worked for Credit Suisse Securities (USA) LLC (CRD# 816) before joining UBS (CRD# 8174) in 2015. [read post]
14 Jan 2020, 1:02 pm
On November 14, 2019, two former Credit Suisse investment advisers represented by Lax & Neville LLP won a $1.6 million FINRA arbitration award against Credit Suisse Securities (USA) LLC for unpaid deferred compensation. [read post]
6 Jan 2020, 7:30 am
SprayFoamPolymers.Com, LLC (No. 18-0350) Credit Suisse AG, Cayman Islands Branch and Credit Suisse Securities (USA) LLC v. [read post]
12 Sep 2019, 1:06 am
In the Matter of the Arbitration Between Credit Suisse Securities (USA) LLC, Claimant, v. [read post]
16 May 2019, 8:31 am
Health Insurance Innovations raised more than $65 million with its public offering, which used underwriters Citigroup Global Markets, Credit Suisse Securities USA, BofA Merrill Lynch, and Raymond James Financial. [read post]
10 May 2019, 11:43 am
On May 7, 2019, two former Credit Suisse investment advisers represented by Lax & Neville LLP won a $6.68 million FINRA arbitration award against Credit Suisse Securities (USA) LLC for unpaid deferred compensation and violations of the New York Labor Law (“NYLL”). [read post]
24 Apr 2019, 6:49 pm
See Credit Suisse Securities (USA) LLC v. [read post]
15 Nov 2018, 2:49 pm
Credit Suisse Securities (USA) LLC, FINRA Case No. 17-01277 Credit Suisse raised a mitigation defense based upon compensation Mr. [read post]
11 Oct 2018, 3:15 pm
Credit Suisse Securities (USA) LLC, FINRA Case No. 16-03065. [read post]
5 Oct 2018, 8:25 am
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… [read post]
5 Oct 2018, 8:25 am
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… [read post]
20 Jul 2018, 1:23 pm
Laver v Credit Suisse Securities (USA), LLC. [read post]
20 Jul 2018, 1:23 pm
Laver v Credit Suisse Securities (USA), LLC. [read post]
19 Jul 2018, 11:13 am
Credit Suisse Securities (USA) LLC, No. 40, 2018 WL 2899299 (June 12, 2018) (DiFiore, Ch. [read post]
19 Jul 2018, 11:13 am
Credit Suisse Securities (USA) LLC, No. 40, 2018 WL 2899299 (June 12, 2018) (DiFiore, Ch. [read post]
13 Jul 2018, 1:31 pm
Credit Suisse Securities (USA) LLC, No. 40, 2018 WL 2899299 (N.Y. [read post]
28 Jun 2018, 7:23 am
No. 4736 (Aug. 1, 2017); In the Matter of Credit Suisse Securities (USA) LLC, Investment Advisers Act Rel. [read post]
