Search for: "Credit Suisse Securities LLC"
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28 Sep 2022, 8:06 am
;Credit Suisse Securities (USA) LLC;Deutsche Bank Securities Inc. together with DWS Distributors Inc. and DWS Investment Management Americas, Inc. [read post]
22 Sep 2022, 12:03 pm
On September 9, 2022, the Superior Court of the State of California entered judgment on a FINRA Arbitration Award against Credit Suisse Securities (USA) LLC, ordering it to pay more than $10 million to seven investment advisors formerly employed in the Los Angeles and San Francisco branches of its now-closed US private bank. [read post]
23 Mar 2022, 6:36 am
It is alleged that Credit Suisse Securities, LLC and UBS Financial Services, Inc. failed to perform the necessary due diligence on these investments prior to recommending them to these particular investors. [read post]
27 Feb 2022, 4:30 pm
Switzerland Switzerland-based news organisations were excluded from the Suisse Secrets investigation into Credit Suisse’s banking practices over fears of punitive legal punishment. [read post]
4 Feb 2022, 8:19 am
., 542 U.S. 155 (2004); and Credit Suisse Securities (USA) LLC v. [read post]
27 Jan 2022, 8:45 am
, Credit Suisse Securities (USA) LLC v. [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]
12 Dec 2021, 2:22 pm
Credit Suisse Securities (USA) LLC, 752 F.3d 82, 89 (1st Cir. 2014) (affirming exclusion of expert witness who failed to account for confounding in event studies), aff’g 853 F. [read post]
7 Dec 2021, 11:20 am
Ct.), Credit Suisse Securities (USA) LLC v. [read post]
2 Apr 2021, 1:29 pm
So far, Credit Suisse, Goldman Sachs, Morgan Stanley, UBS and Nomura Securities have reported huge potential losses as a result of complex equity swaps – dubbed CFDs or contract for differences – with Archegos. [read post]
5 Mar 2021, 1:45 pm
Trinko, LLP, and Credit Suisse Securities (USA) LLC v. [read post]
15 Sep 2020, 9:19 am
Credit Suisse Securities (USA), LLC, Defendant/Appellee (Opinion, 9Cir)Georgia Woman Who Allegedly Preyed on Vulnerable South Florida Seniors to Steal More than $1 Million Charged in Federal Court West Palm Beach (DOJ Release)Six indicted in connection with multi-million dollar scheme to bribe Amazon employees and contractors / Consultants to ... [read post]
15 Sep 2020, 9:19 am
Credit Suisse Securities (USA), LLC, Defendant/Appellee (Opinion, 9Cir)... [read post]
3 Sep 2020, 7:51 am
According to FINRA Disciplinary actions for July 2020, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Joanna Abdelhadi Wells Fargo Clearing Services, LLC Credit Suisse Securities (USA) LLC Kenneth Butschek ProEquities,… [read post]
29 Jul 2020, 12:30 pm
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Joanna Abdelhadi Wells Fargo Clearing Services, LLC Credit Suisse Securities LLC Kenneth Butschek ProEquities, Inc. [read post]
17 Jul 2020, 3:50 pm
Credit Suisse Securities (USA) LLC, Index No. 652771/2019 (N.Y. [read post]
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]
29 May 2020, 12:13 pm
According to the prospectus, the ETNs, issued by Credit Suisse, “are riskier than ordinary unsecured debt securities and have no principal protection. [read post]
15 Apr 2020, 8:56 am
The post Clients Get Burned When Brokers Sugarcoat Investment Risk appeared first on Zamansky LLC. [read post]
