Search for: "CREDIT SUISSE FINANCIAL CORPORATION"
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6 Oct 2016, 9:30 pm
In disclosures, Credit Suisse claimed it individually assessed each client’s assets in determining net new assets, but the SEC said an investigation it conducted found that Credit Suisse sometimes used “an undisclosed results-driven approach” to determine net new assets. [read post]
2 May 2016, 6:16 pm
Lopez has represented clients against some of the largest financial institutions including Merrill Lynch, Morgan Stanley, UBS Paine Webber, Salomon-Smith Barney, CitiGroup, Credit Suisse First Boston and Prudential Securities. [read post]
23 Feb 2016, 7:36 am
No. 3-16361, for violation of their duty to file suspicious activity reports (“SARs”); and its action against a current and former unit of E*Trade Financial Corporation, Admin. [read post]
2 Feb 2016, 1:15 pm
It is emerging that, at least under the OECD's framework Guidelines for Multinational Enterprises, financial institutions assume at least some minimal level of responsibility for the human rights detrimental conduct of clients (Should Financial Institutions Have Obligations to Manage the Human Rights Impacts of their Clients? [read post]
20 Jan 2016, 5:21 am
.: 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]
15 Oct 2015, 7:55 pm
“Now in its sixth edition, the Credit Suisse Global Wealth Report offers a comprehensive portrait of global wealth, covering all regions and countries, and all parts of the wealth spectrum, from the very base of the wealth pyramid to ultra-high net worth individuals (UHNWIs). [read post]
6 Jul 2015, 4:25 pm
Twelve firms were required to submit plans on July 1: Bank of America Corporation, Bank of New York Mellon Corporation, Barclays PLC, Citigroup Inc., Credit Suisse Group AG, Deutsche Bank AG, Goldman Sachs Group, JPMorgan Chase & Co., Morgan Stanley, State Street Corporation, UBS AG, and Wells Fargo & Company. [read post]
4 Jun 2015, 11:30 am
James was Chairman of Global Investment Banking and Private Equity at Credit Suisse First Boston, and Chairman of the Banking Group at Donaldson, Lufkin & Jenrette. [read post]
4 Jun 2015, 11:30 am
James was Chairman of Global Investment Banking and Private Equity at Credit Suisse First Boston, and Chairman of the Banking Group at Donaldson, Lufkin & Jenrette. [read post]
21 May 2015, 5:00 am
” […more] Credit Suisse dropped SEC waiver request amid opposition by Sarah N. [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]
12 Jan 2015, 10:09 am
Previously, he served as a Commissioner of the Special Commission on Judicial Compensation, Director of the Federal Home Loan Bank of New York, Director of the Municipal Assistance Corporation for the City of New York, Director of the United Nations Development Corporation, Chairman of the Westchester County Industrial Development Agency, and Chairman of the New York City Rent Guidelines Board. [read post]
4 Jan 2015, 8:10 pm
The IRS did not appeal the appeal, essentially putting a period on the attempt to regulate the tax preparation industry. (9) Credit Suisse Settles For Millions. [read post]
30 Dec 2014, 4:28 pm
Lawsky, Superintendent of Financial Services of the State of New York, Metropolitan Life Insurance Company (MetLife) and Credit Suisse Group, AG (Credit Suisse) as defendants was voluntarily dismissed in 2013 without prejudice.Oregon Class Action The 2014 Oregon class action Complaint was filed in U.S. [read post]
28 Dec 2014, 4:13 pm
” The first eleven SIFIs — Bank of America, Bank of New York Mellon, Barclays, Citigroup, Credit Suisse, Deutsche Bank, Goldman Sachs, JPMorgan Chase, Morgan Stanley, State Street Corp. and UBS — include some of the largest organizations in the world, with sophisticated internal and external teams of professional advisors. [read post]
8 Sep 2014, 3:24 am
The list of companies mentioned by name in the article silently makes the point; among the companies named in the article are BNP Paribas, BP, Standard Chartered, HSBC, Credit Suisse, UBS, Barclays, Toyota, Marubeni, and Rabobank. [read post]
30 Jul 2014, 9:01 pm
The husband is a Risk Manager at Credit Suisse Securities, LLC, residing in a condominium in White Plains, New York. [read post]
3 Jul 2014, 7:10 pm
They are: Bank of America Corporation, Bank of New York Mellon Corporation, Barclays PLC, Citigroup Inc., Credit Suisse Group AG, Deutsche Bank AG, Goldman Sachs Group, HSBC Holdings plc, JPMorgan Chase & Co., Morgan Stanley, State Street Corporation, UBS AG, and Wells Fargo & Company. [read post]
24 Jun 2014, 5:00 am
Brabeck-Letmathe serves on the boards of Nestlé, Credit Suisse Group, and L’Oréal. [read post]
12 Jun 2014, 8:18 am
The United States hasn’t been shy about demanding records into tax and financial practices of multinational banks and corporations in the name of tax fairness. [read post]
