Search for: "Credit Suisse Securities LLC"
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5 Jan 2023, 2:22 pm
In addition to the company, the settlement resolves allegations against its officers and directors, as well as the various underwriters of the IPO and SPO, including Credit Suisse. [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]
2 Sep 2011, 3:14 pm
Countrywide Financial Corporation Credit Suisse Holdings (USA), Inc. [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]
27 Mar 2007, 8:35 am
Credit Suisse First Boston (USA), Inc., et al., No. 06-20856 (5th Cir. [read post]
8 Nov 2019, 8:39 am
In 2018 investors suffered catastrophic losses after a spike in the VIX gauge of U.S. stocks volatility (.VIX) sent Credit Suisse VelocityShares Daily Inverse VIX ETN down 84 percent and sales were halted. [read post]
7 Dec 2009, 12:43 pm
Supreme Court's 2007 decision in Credit Suisse Securities (USA) LLC v. [read post]
16 Aug 2012, 2:00 am
And the Supreme Court did decide one case–Credit Suisse Securities (USA) LLC v. [read post]
9 Oct 2007, 3:32 pm
Other firms sanctioned included UBS Securities; Bear Stearns & Co.; Credit Suisse Securities (USA) LLC ; Banc of America Securities LLC; Goldman Sachs & Co.; JP Morgan Securities; Wachovia Capital Markets LLC; and Keefe, Bruyette & Woods Inc. [read post]
13 Jul 2007, 3:18 pm
. -- application of patent law to imports of Windows Credit Suisse Securities (USA) LLC v. [read post]
16 Aug 2007, 9:03 am
Credit Suisse First Boston (USA), Inc., 482 F.3d 372 (5th Cir. 2007). [read post]
5 Jul 2007, 3:36 pm
Credit Suisse, 2007 U.S. [read post]
15 Jul 2019, 9:01 am
YES Strategy Investments Reportedly, UBS (UBS), Credit Suisse (CS), Bank of America’s (BAC) Merrill Lynch, Morgan Stanley (MS), and other brokerage firms brokers sold YES Strategies to many wealthy investors, touting the approach as safe way to increase returns on conservative portfolios. [read post]
31 Jan 2014, 7:33 am
Wicklund, managing director of energy research, at Credit Suisse LLC, said: “We are not only awash in gas; we are awash in cheap gas. [read post]
9 Mar 2011, 12:15 pm
[5] Credit Suisse Securities (USA) LLC v. [read post]
11 Apr 2007, 11:00 am
Defendants in the petition include Credit Suisse First Boston LLC, Pershing LLC, Merrill Lynch Pierce Fenner & Smith Inc., Credit Suisse First Boston (USA) Inc., Merrill Lynch & Co., Barclays Capital Inc., Barclays Bank PLC, and Barclays PLC. [read post]
28 Sep 2022, 12:37 pm
Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. [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]
27 Mar 2007, 1:23 pm
The case, Stoneridge Investment Partners LLC v. [read post]
11 Nov 2011, 1:20 am
Hicks (“Hicks”) and Locust Offshore Management, LLC (“LOM”). [read post]
