Search for: "Credit Suisse Securities (USA), LLC"
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28 Dec 2011, 11:45 am
FINRA recently fined Credit Suisse Securities (USA) LLC $1.75 million for violating Regulation SHO (Reg SHO) and failing to properly supervise short sales of securities and marking of sale orders. [read post]
1 Dec 2011, 1:58 pm
Credit Suisse Securities (USA) LLC 406.6M Kajeet Inc. v. [read post]
29 Nov 2011, 2:55 pm
Supreme Court oral argument in Credit Suisse Securities (USA) LLC v. [read post]
4 Sep 2011, 2:05 pm
Credit Suisse Holdings (USA), Inc. 7. [read post]
2 Sep 2011, 3:14 pm
Countrywide Financial Corporation Credit Suisse Holdings (USA), Inc. [read post]
1 Jul 2011, 2:00 am
The case is styled as Credit Suisse Securities (USA) LLC v. [read post]
28 Jun 2011, 7:53 am
Credit Suisse Securities (USA) LLC, No. 09-35262 (9th Cir. [read post]
27 Jun 2011, 5:12 pm
The case is styled as Credit Suisse Securities (USA) LLC v. [read post]
27 Jun 2011, 8:41 am
In addition to the cases listed below, the Court also granted cert. in No. 10-1261, Credit Suisse Securities LLC v. [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]
7 Jun 2011, 12:05 pm
Credit Suisse Securities (USA), LLC, Docket No. 10-3847-cv (2d Cir. [read post]
4 Jun 2011, 9:03 pm
Credit Suisse Securities (USA), LLC, Docket No. 10-3847-cv (2d Cir. [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]
26 May 2011, 1:55 pm
FINRA announced today that it fined Credit Suisse Securities (USA) LLC $4.5 million, and Merrill Lynch $3 million for misrepresenting delinquency data and inadequate supervision in connection with the issuance of residential subprime mortgage securitizations (RMBS). [read post]
9 Mar 2011, 12:15 pm
[5] Credit Suisse Securities (USA) LLC v. [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]
23 Dec 2010, 12:16 pm
” In support of its recommendation that Airgas stockholders reject Air Products’ current offer, the Airgas board consulted with its financial and legal advisors, and obtained “the written opinions of Bank of America Merrill Lynch, Credit Suisse Securities (USA) LLC and Goldman, Sachs & Co., as of December 21, 2010, regarding the inadequacy, from a financial point of view, of the price offered by Air Products. [read post]
10 Nov 2010, 6:15 pm
Credit Suisse Securities (USA) LLC v. [read post]
21 Sep 2010, 7:09 pm
Frank Pusateri (Adriondack Portfolio Management, Inc) Bucky Isaacson (Future Funding Consultants) 9:00 – 9:30 – Marketing in Europe (Sponsored by Horizon Cash Management, LLC) Cecilia Mortimore (Credit-Suisse Securities (USA) LLC) 9:30 – 10:00 – Institutional Marketing (Sponsored by Mallon P.C.) [read post]
28 May 2010, 8:42 am
Credit Suisse Securities (USA) LLC v. [read post]
