Search for: "Credit Suisse Securities (USA) LLC" Results 1 - 20 of 136
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17 Dec 2015, 7:35 am by Daily Record Staff
(CFG) brought suit in the Circuit Court for Montgomery County against four entities: Appellees Credit Suisse Securities (USA) LLC, Column Guaranteed, LLC, Column Financial, Inc. [read post]
28 Dec 2011, 11:45 am by Securites Lawprof
FINRA recently fined Credit Suisse Securities (USA) LLC $1.75 million for violating Regulation SHO (Reg SHO) and failing to properly supervise short sales of securities and marking of sale orders. [read post]
20 Dec 2013, 8:53 am by Stock Market Loss
The New Jersey suit filed against Credit Suisse Securities (USA) LLC and two affiliates alleges that between May 2006 and April 2007 the firms misled investors about the quality of loans packaged into more than $10 billion worth of residential mortgage- backed securities. [read post]
20 Nov 2012, 12:35 pm by Securites Lawprof
The New York AG filed a Martin Act complaint against Credit Suisse Securities (USA) LLC and its affiliates for making fraudulent misrepresentations and omissions to promote the sale of residential mortgage­-backed securities (RMBS) to investors. [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]
4 Jan 2012, 6:00 am by SECLaw Staff
FINRA has fined Credit Suisse Securities (USA) LLC $1.75 million for violating Regulation SHO and failing to properly supervise short sales of securities and marking of sale orders. [read post]
26 May 2011, 1:55 pm by Securites Lawprof
FINRA announced today that it fined Credit Suisse Securities (USA) LLC $4.5 million, and Merrill Lynch $3 million for misrepresenting delinquency data and inadequate supervision in connection with the issuance of residential subprime mortgage securitizations (RMBS). [read post]
10 May 2019, 11:43 am by Lax & Neville LLP
On May 7, 2019, two former Credit Suisse investment advisers represented by Lax & Neville LLP won a $6.68 million FINRA arbitration award against Credit Suisse Securities (USA) LLC for unpaid deferred compensation and violations of the New York Labor Law (“NYLL”). [read post]
14 Jan 2020, 1:02 pm by Lax & Neville LLP
On November 14, 2019, two former Credit Suisse investment advisers represented by Lax & Neville LLP won a $1.6 million FINRA arbitration award against Credit Suisse Securities (USA) LLC for unpaid deferred compensation. [read post]
5 Mar 2012, 7:02 am by D. Daxton White
If you have questions about investments you made with Credit Suisse Securities (USA) LLC, the securities attorneys of The White Law Group may be able to help. [read post]
5 Mar 2012, 7:02 am by D. Daxton White
If you have questions about investments you made with Credit Suisse Securities (USA) LLC, the securities attorneys of The White Law Group may be able to help.  [read post]
5 Sep 2008, 1:21 pm
A superseding indictment was unsealed charging Julian Tzolov, 35, and Eric Butler, 36, former brokers at Credit Suisse Securities (USA) LLC, with conspiracy, securities fraud, and wire fraud. [read post]