Search for: "Credit Suisse Securities (USA) LLC"
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13 Dec 2023, 1:05 pm
The Securities and Exchange Commission today announced that Credit Suisse Securities (USA) LLC and two affiliated Credit Suisse entities (collectively, the Credit Suisse Entities) agreed to pay more than $10 million to settle the SEC’s charges that they…Read the Full Press Release Have a securities law question? [read post]
7 Dec 2023, 10:03 am
On November 16, 2023, the United States District Court for the Southern District of New York entered judgment on a FINRA Arbitration Award against Credit Suisse Securities (USA) LLC, ordering it to pay more than $1.3 million to an investment advisor formerly employed by its now-closed US private bank. [read post]
25 Oct 2023, 12:49 pm
PRIMEX Adam Ezrilov LPL Financial LLC RBC Capital Markets, LLC Samuel Girgiss Spartan Capital Securities, LLC Worden Capital Management LLC Dennis Hanrahan Spartan Capital Securities, LLC John Thomas Financial Timothy Henry Wells Fargo Clearing Services, LLC Credit Suisse Securities (USA) LLC… [read post]
24 Apr 2023, 5:58 am
Credit Suisse Securities (USA) LLC, FINRA No. 20-02093. [read post]
9 Feb 2023, 11:21 am
Credit Suisse Securities (USA) LLC, FINRA No. 20-03957. [read post]
28 Nov 2022, 9:02 am
Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. [read post]
21 Nov 2022, 9:02 am
Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. [read post]
11 Nov 2022, 9:28 am
According to FINRA Disciplinary actions for October 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Todd Kalish Park Edge Advisors, LLC McDonald Partners LLC Nicolas Lumermann Morgan Stanley Credit Suisse Securities (USA) LLC Jeff McElroy BOK… [read post]
28 Sep 2022, 12:37 pm
Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. [read post]
28 Sep 2022, 8:06 am
;Credit Suisse Securities (USA) LLC;Deutsche Bank Securities Inc. together with DWS Distributors Inc. and DWS Investment Management Americas, Inc. [read post]
22 Sep 2022, 12:03 pm
On September 9, 2022, the Superior Court of the State of California entered judgment on a FINRA Arbitration Award against Credit Suisse Securities (USA) LLC, ordering it to pay more than $10 million to seven investment advisors formerly employed in the Los Angeles and San Francisco branches of its now-closed US private bank. [read post]
4 Feb 2022, 8:19 am
., 542 U.S. 155 (2004); and Credit Suisse Securities (USA) LLC v. [read post]
27 Jan 2022, 8:45 am
, Credit Suisse Securities (USA) LLC v. [read post]
12 Dec 2021, 2:22 pm
Credit Suisse Securities (USA) LLC, 752 F.3d 82, 89 (1st Cir. 2014) (affirming exclusion of expert witness who failed to account for confounding in event studies), aff’g 853 F. [read post]
7 Dec 2021, 11:20 am
Ct.), Credit Suisse Securities (USA) LLC v. [read post]
5 Mar 2021, 1:45 pm
Trinko, LLP, and Credit Suisse Securities (USA) LLC v. [read post]
15 Sep 2020, 9:19 am
Credit Suisse Securities (USA), LLC, Defendant/Appellee (Opinion, 9Cir)Georgia Woman Who Allegedly Preyed on Vulnerable South Florida Seniors to Steal More than $1 Million Charged in Federal Court West Palm Beach (DOJ Release)Six indicted in connection with multi-million dollar scheme to bribe Amazon employees and contractors / Consultants to ... [read post]
15 Sep 2020, 9:19 am
Credit Suisse Securities (USA), LLC, Defendant/Appellee (Opinion, 9Cir)... [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 … [read post]
17 Jul 2020, 3:50 pm
Credit Suisse Securities (USA) LLC, Index No. 652771/2019 (N.Y. [read post]
