Search for: "Credit Suisse Securities LLC"
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22 Feb 2019, 12:40 pm
If you have lost money in an iron condor or other yield enhancement strategy investment, the securities fraud attorneys at Zamansky, LLC may be able to recover your losses through FINRA arbitration. [read post]
31 Jan 2019, 8:04 am
This includes one case (likely among many others) in which advisors at Credit Suisse reportedly advised an individual investor to, “allocate a significant portion of his retirement funds in a high-fee proprietary [yield enhancement] strategy. [read post]
17 Jan 2019, 8:40 am
Credit Suisse said that the, “ securities are complex and risk backfiring if the market doesn’t move as divined. [read post]
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]
11 Oct 2018, 3:15 pm
Credit Suisse Securities (USA) LLC, FINRA Case No. 16-03065. [read post]
5 Oct 2018, 8:25 am
Credit Suisse Agrees to Pay $10 Million to Settle Charges Related to Handling of Retail Customer OrdersCredit Suisse Securities (USA) LLC has agreed to settle charges brought by the SEC and the Office of the New York Attorney General regarding material misrepresentations and omissions made in connection with its now-closed Retail Execution Services (RES) business’ handling of certain customer orders.SEC Charges LendingClub Asset Management and… [read post]
5 Oct 2018, 8:25 am
Credit Suisse Agrees to Pay $10 Million to Settle Charges Related to Handling of Retail Customer OrdersCredit Suisse Securities (USA) LLC has agreed to settle charges brought by the SEC and the Office of the New York Attorney General regarding material misrepresentations and omissions made in connection with its now-closed Retail Execution Services (RES) business’ handling of certain customer orders.SEC Charges LendingClub Asset Management and… [read post]
20 Jul 2018, 1:23 pm
Laver v Credit Suisse Securities (USA), LLC. [read post]
20 Jul 2018, 1:23 pm
Laver v Credit Suisse Securities (USA), LLC. [read post]
19 Jul 2018, 11:13 am
Credit Suisse Securities (USA) LLC, No. 40, 2018 WL 2899299 (June 12, 2018) (DiFiore, Ch. [read post]
19 Jul 2018, 11:13 am
Credit Suisse Securities (USA) LLC, No. 40, 2018 WL 2899299 (June 12, 2018) (DiFiore, Ch. [read post]
13 Jul 2018, 1:31 pm
Credit Suisse Securities (USA) LLC, No. 40, 2018 WL 2899299 (N.Y. [read post]
28 Jun 2018, 7:23 am
No. 4736 (Aug. 1, 2017); In the Matter of Credit Suisse Securities (USA) LLC, Investment Advisers Act Rel. [read post]
21 Feb 2018, 10:42 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
6 Feb 2017, 7:21 am
From August 2005 through August 2015, Dishner was registered with Credit Suisse Securities LLC. [read post]
6 Feb 2017, 7:21 am
From August 2005 through August 2015, Dishner was registered with Credit Suisse Securities 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]
12 Jul 2016, 8:48 am
Other SEC cases involving failures to provide complete blue sheet data: Credit Suisse Securities (USA) LLC paid a $4.25 million penalty in September 2015, admitting that technological and human errors resulted in the omission of more than 553,400 reportable trades from blue sheet responses to the SEC for more than two years.OZ Management LP paid a $4.25 million penalty in July 2015, admitting that it provided inaccurate trade data to four of its prime… [read post]
23 Feb 2016, 7:36 am
” She further noted that “whether a company self-reported to law enforcement is a significant factor” and explained that the SEC “will give substantial credit for having reported. [read post]
5 Feb 2016, 1:48 pm
.'CREDIT SUISSE SECURITIES (USA) LLC v. [read post]
