Search for: "Credit Suisse Securities (USA) LLC" Results 1 - 20 of 98
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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]
12 Apr 2017, 4:59 am by Kate Maddox
If you are an individual or institutional investor who has any concerns about your investments with Credit Suisse Securities (USA) LLC, please contact us for a no-cost and no-obligation evaluation of your specific facts and circumstances. [read post]
12 Apr 2017, 4:59 am by Kate Maddox
If you are an individual or institutional investor who has any concerns about your investments with Credit Suisse Securities (USA) LLC, please contact us for a no-cost and no-obligation evaluation of your specific facts and circumstances. [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 mortgageĀ­-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]
16 Nov 2012, 11:22 am by Securites Lawprof
Morgan Securities LLC and Credit Suisse Securities (USA) with misleading investors in offerings of residential mortgage-backed securities (RMBS). [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.Ā  [read post]
20 Nov 2012, 7:12 am by D. Daxton White
Morgan Securities LLC and Credit Suisse Securities (USA) with misleading investors in offerings of residential mortgage-backed securities. [read post]
31 Jan 2016, 1:43 pm by Mark Astarita
The Securities and Exchange Commission today announced that Barclays Capital Inc. and Credit Suisse Securities (USA) LLC have agreed to settle separate cases finding that they violated federal securities laws while operating alternative trading systems known as dark pools and Credit Suisse’s Light Pool.The New York Attorney General’s office is announcing parallel actions against the two firms.Barclays agreed… [read post]
27 Mar 2007, 12:32 pm
See the transcript of the oral argument this morning in Credit Suisse First Boston (USA), LLC v. [read post]