Search for: "Credit Suisse Securities LLC"
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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]
9 Feb 2023, 11:21 am
Credit Suisse Securities (USA) LLC, FINRA No. 20-03957. [read post]
24 Apr 2023, 5:58 am
Credit Suisse Securities (USA) LLC, FINRA No. 20-02093. [read post]
11 Oct 2018, 3:15 pm
Credit Suisse Securities (USA) LLC, FINRA Case No. 16-03065. [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]
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]
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]
7 Dec 2021, 11:20 am
Ct.), Credit Suisse Securities (USA) LLC v. [read post]
13 Dec 2023, 1:05 pm
The Securities and Exchange Commission today announced that Credit Suisse Securities (USA) LLC and two affiliated Credit Suisse entities (collectively, the Credit Suisse Entities) agreed to pay more than $10 million to settle the SEC’s charges that they…Read the Full Press Release Have a securities law question? [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]
10 Aug 2009, 11:11 am
FINRA imposed a fine of $275,000 against Credit Suisse Securities (USA), LLC, for failing to comply fully with one of the key terms of the 2003 Global Research Analyst Settlement. [read post]
4 Jan 2012, 6:00 am
FINRA has fined Credit Suisse Securities (USA) LLC $1.75 million for violating Regulation SHO and failing to properly supervise short sales of securities and marking of sale orders. [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]
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]
31 Mar 2020, 3:41 pm
Credit Suisse Securities (USA) LLC, FINRA No. 17-01489. [read post]
21 Jan 2022, 11:43 am
FINRA Fines Credit Suisse Securities $9 million for not controlling clients’ securities and conflicts of interests. [read post]
24 Apr 2019, 6:49 pm
See Credit Suisse Securities (USA) LLC v. [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]
22 Mar 2023, 9:29 am
The post Zamansky LLC Investigates Potential Investment Fraud Claims Arising From the $17 Billion Write-Down of Credit Suisse Contingent Convertible (CoCo) Bonds appeared first on Zamansky LLC. [read post]
5 Dec 2016, 9:44 am
According to reports, The Financial Industry Regulatory Authority (FINRA) has fined Credit Suisse Securities LLC $16.5 million for anti-money laundering (AML), supervision and other violations. [read post]
