Search for: "Credit Suisse Securities (USA), LLC"
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12 Jul 2016, 8:48 am
Other SEC cases involving failures to provide complete blue sheet data: Credit Suisse Securities (USA) LLC paid a $4.25 million penalty in September 2015, admitting that technological and human errors resulted in the omission of more than 553,400 reportable trades from blue sheet responses to the SEC for more than two years.OZ Management LP paid a $4.25 million penalty in July 2015, admitting that it provided inaccurate trade data to four of… [read post]
23 Feb 2016, 7:36 am
Brenner discussed the Commission’s enforcement actions against: BDO USA, LLP, Admin. [read post]
5 Feb 2016, 1:48 pm
.'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… [read post]
25 Jan 2016, 2:17 am
On January 31, 2015, the Securities and Exchange Commission ("SEC") announced that it had entered into settlements with Barclays Capital Inc. and Credit Suisse Securities (USA) LLC concerning those firms' alleged operations of alternative trading systems, so-called "Dark Pools. [read post]
20 Jan 2016, 5:21 am
Case number: 11-cv-02121 (United States District Court for the District of Colorado) Case filed: August 15, 2011 Qualifying Judgment/Order: March 16, 2015 10/30/2015 1/28/2016 2015-116 In the Matter of UBS AG Administrative Proceeding File No.: 3-16891 Case filed: October 13, 2015 Qualifying Judgment/Order: October 13, 2015 10/30/2015 1/28/2016 2015-115 In the Matter of Credit Suisse Securities (USA) LLC Admi [read post]
17 Dec 2015, 7:35 am
(CFG) brought suit in the Circuit Court for Montgomery County against four entities: Appellees Credit Suisse Securities (USA) LLC, Column Guaranteed, LLC, Column Financial, Inc. [read post]
26 Apr 2015, 10:07 pm
The Court in Credit Suisse, with Justice Breyer again the author, seemed too quick to find a conflict between securities and antitrust law.** Justice Breyer's more modest approach in ONEOK may help confine Credit Suisse to its facts. __________________ * See Credit Suisse Securities (USA) LLC v. [read post]
2 Feb 2015, 7:01 am
., Credit Suisse Securities (USA) LLC, Countrywide Financial Inc., Deutsche Bank Securities, Inc. and other banks concerning 229 RMBS transactions. [read post]
16 Jan 2015, 6:16 am
– $ 5million Credit Suisse Securities (USA), LLC – $5 million Goldman, Sachs & Co. [read post]
22 May 2014, 10:51 am
(USA) LLC, No. 12-1750, 2014 U.S. [read post]
10 May 2014, 3:27 am
Credit Suisse Securities (USA) LLC, 2014 WL 1910961 (1st Cir. [read post]
21 Feb 2014, 7:55 am
Gana LLP, a full-service nationally recognized securities litigation firm, is investigating Credit Suisse Securities (USA) LLC for underwriting and VLS Securities, LLC (VLS) for marketing the VelocityShares Daily 2x VIX Short Term Exchange Traded Notes (TVIX). [read post]
20 Dec 2013, 8:53 am
The New Jersey suit filed against Credit Suisse Securities (USA) LLC and two affiliates alleges that between May 2006 and April 2007 the firms misled investors about the quality of loans packaged into more than $10 billion worth of residential mortgage- backed securities. [read post]
13 Mar 2013, 11:50 am
The United States District Court for the Southern District of New York dismissed the complaint, relying upon the Supreme Court’s decision in Credit Suisse Securities (USA) LLC v. [read post]
13 Mar 2013, 11:50 am
The United States District Court for the Southern District of New York dismissed the complaint, relying upon the Supreme Court’s decision in Credit Suisse Securities (USA) LLC v. [read post]
1 Mar 2013, 11:56 am
Linton, Esq., Protégé Enterprises, LLC, and Capital Edge Enterprises, LLCCase number: 12-cv-00646 (United States District Court for the Middle District of Florida)Case filed: April 30, 2012Qualifying Judgment/Order: November 5, 2012 12/7/2012 3/7/2013 2012-126 In the Matter of Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston… [read post]
20 Nov 2012, 12:35 pm
The New York AG filed a Martin Act complaint against Credit Suisse Securities (USA) LLC and its affiliates for making fraudulent misrepresentations and omissions to promote the sale of residential mortgage-backed securities (RMBS) to investors. [read post]
20 Nov 2012, 7:12 am
Morgan Securities LLC and Credit Suisse Securities (USA) with misleading investors in offerings of residential mortgage-backed securities. [read post]
1 Oct 2012, 3:00 am
October 10-12 Sponsor: ICBI Event: Fund Forum USA 2012 Location: Boston, MA October 11-12 Sponsor: ALTSO Event: 9th Annual Hedge Fund Rocktoberfest Location: New York, NY October 16 Sponsor: Bloomberg L.P. [read post]
