Search for: "Credit Suisse Securities LLC"
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9 Dec 2009, 6:55 am
Incorporated, Goldman Sachs & Co., Bear Stearns Companies, Inc., Bank of America Securities LLC, Bank of New York, Citigroup Inc., Credit Suisse (USA) Inc., Deutsche Bank Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith, Inc., and UBS Financial Services, Inc. [read post]
7 Dec 2009, 12:43 pm
Supreme Court's 2007 decision in Credit Suisse Securities (USA) LLC v. [read post]
7 Dec 2009, 7:43 am
Supreme Court in its 2007 decision, Credit Suisse Securities (USA) LLC v. [read post]
30 Oct 2009, 2:57 pm
Roche's Credit Suisse relationship managers were Julian Tzolov and Eric Butler, who are now serving federal prison sentences for securities fraud in connection with auction rate securities. [read post]
21 Sep 2009, 10:36 am
District Court Judge Jack Weinstein, after a jury found a Credit Suisse broker guilty of securities fraud, in considering what sentence to impose, instructed lawyers on both sides to put the defendant's acts in the context of "how pernicious and pervasive was the culture of corruption" on Wall Street that "brought our financial system to its knees. [read post]
18 Aug 2009, 10:25 am
A jury convicted a former Credit Suisse broker of a crime - subject to 45 years in prison - after less than a day of deliberation. [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]
6 Aug 2009, 6:51 am
He dismissed a separate lawsuit in April seeking $2 billion from Bank of America Corp., Deutsche Bank AG, Credit Suisse Group AG and other defendants for Refco creditors. [read post]
2 Aug 2009, 9:18 am
Credit Suisse Securities (USA) LLC v. [read post]
29 Jul 2009, 10:18 pm
Credit Suisse Securities (USA) LLC v. [read post]
29 Jul 2009, 11:57 am
Tzolov, a former Credit Suisse Securities (USA) LLC broker, has pleaded guilty to fraud charges over his involvement in an auction-rate securities scheme involving hundreds of millions of dollars. [read post]
21 Jul 2009, 2:51 pm
In a similar but unrelated development, federal authorities have filed criminal charges against Credit Suisse Group broker Julian Tzolov for fraud relating to auction rate securities. [read post]
7 Jul 2009, 10:31 am
The New York Attorney General announced Assurances of Discontinuance with Credit Suisse Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated relating to the auction rate securities settlements reached last summer. [read post]
1 Jun 2009, 9:10 pm
Broker-dealers that have reached preliminary settlements with federal and state regulators over their misrepresentation of ARS to clients include Citigroup Inc., Deutsche Bank AG, Credit Suisse Group, JP Morgan Chase & Co, Goldman Sachs Group Inc., Merrill Lynch & Co. [read post]
31 Mar 2009, 2:21 pm
The award also required that Credit Suisse pay over $6.5 million in attorney's fees. [read post]
19 Mar 2009, 12:48 pm
The FINRA tribunal ordered Credit Suisse Securities USA LLC, a brokerage unit of the Swiss bank, to pay $400 million to its customer STMicroelectronics NV, a European semiconductor maker. [read post]
5 Mar 2009, 12:06 pm
The Boilermaker-Blacksmith National Pension Trust is suing a number of investment banks, credit rating agencies, and underwriters, including Wells Fargo, WFASC, Morgan Stanley & Co., Credit Suisse Securities (USA) LLC, Barclays Capital Inc., Bear Stearns & Co., Countrywide Securities Corp., Deutsche Bank Securities Inc., JPMorgan Chase Inc., Bank of America Corp., Citigroup Global Markets Inc., McGraw-Hill Cos.,… [read post]
25 Feb 2009, 1:55 pm
Credit Suisse Securities (USA) LLC (Respondent), Case Number: 08-00512, FINRA Credit Suisse [read post]
18 Feb 2009, 4:20 am
The dispute arises from Credit Suisse's alleged failure to comply with STMicroelectronics' request that Credit Suisse to invest its client's funds in student loan securities backed by U.S. government guarantees. [read post]
16 Feb 2009, 2:01 am
Credit Suisse basically has to buy back the company’s securities at face value. [read post]
