Search for: "Credit Suisse Securities (USA), LLC"
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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 … [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]
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]
16 Aug 2007, 9:03 am
Credit Suisse First Boston (USA), Inc., 482 F.3d 372 (5th Cir. 2007). [read post]
27 Mar 2007, 8:35 am
Credit Suisse First Boston (USA), Inc., et al., No. 06-20856 (5th Cir. [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 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]
28 Sep 2022, 12:37 pm
Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. [read post]
16 May 2019, 8:31 am
Health Insurance Innovations raised more than $65 million with its public offering, which used underwriters Citigroup Global Markets, Credit Suisse Securities USA, BofA Merrill Lynch, and Raymond James Financial. [read post]
5 Jul 2007, 3:36 pm
IntroductionOn June 18, 2007, the United States Supreme Court ruled in a 7-1 decision that investment banks are immune from antitrust scrutiny in connection with syndication and marketing techniques employed in underwriting initial public offerings, Credit Suisse Securities (USA) LLC v. [read post]
7 Dec 2009, 7:43 am
Supreme Court in its 2007 decision, Credit Suisse Securities (USA) LLC v. [read post]
26 Mar 2012, 1:38 pm
Credit Suisse Securities (USA) LLC, 638 F.3d 1072 (9th Cir. 2011). [read post]
13 Mar 2013, 11:50 am
The United States District Court for the Southern District of New York dismissed the complaint, relying upon the Supreme Court’s decision in Credit Suisse Securities (USA) LLC v. [read post]
12 Apr 2012, 2:00 am
In Credit Suisse Securities (USA) LLC v. [read post]
27 Mar 2012, 10:14 pm
Credit Suisse Securities (USA) LLC v. [read post]
18 Jun 2007, 10:11 am
(Credit Suisse Securities (USA) LLC v. [read post]
17 Feb 2020, 6:48 am
He then worked for Credit Suisse Securities (USA) LLC (CRD# 816) before joining UBS (CRD# 8174) in 2015. [read post]
9 Jan 2007, 12:20 am
DISTRICT COURTSOUTHERN DISTRICT OF NEW YORKCivil PracticeNASD Arbitration, Questions Over Jurisdiction Lead To Action's Transfer to Federal Court in Nebraska Credit Suisse Securities (USA) LLC v. [read post]
