Search for: "Credit Suisse Securities (USA) LLC"
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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]
15 Jun 2011, 8:37 pm
Credit Suisse Securities (USA) LLC, 2d Cir., No. 10-3847-cv, 6/2/11, the US U.S. [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]
27 May 2011, 8:45 am
The Financial Industry Regulatory Authority (FINRA) has fined Credit Suisse Securities (USA) LLC $4.5 million, and Merrill Lynch $3 million. [read post]
18 Jun 2007, 8:11 am
Credit Suisse Securities (USA) LLC v. [read post]
27 Jan 2022, 8:45 am
, Credit Suisse Securities (USA) LLC v. [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]
18 Feb 2009, 4:20 am
Without making specific findings of fact, a FINRA arbitration panel ordered that broker-dealer Credit Suisse (USA) LLC must payclaimant STMicroelectronics more than $400 million in compensatory damages and $6.5 million in fees and costs to resolve a claim by the semiconductor maker that it violated Section 10(b) of the 1934 Securities Exchange Act and SEC Rule 10b-5. [read post]
12 Feb 2011, 4:21 pm
Credit Suisse Securities (USA) LLC (CS) broker Eric Butler is permanently barred from future violations of securities laws. [read post]
20 Nov 2012, 7:12 am
Morgan Securities LLC and Credit Suisse Securities (USA) with misleading investors in offerings of residential mortgage-backed securities. [read post]
25 Feb 2009, 1:55 pm
Credit Suisse Securities (USA) LLC (Respondent), Case Number: 08-00512, FINRA Credit Suisse [read post]
31 Jan 2016, 1:43 pm
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]
29 Jul 2009, 10:18 pm
Credit Suisse Securities (USA) LLC v. [read post]
2 Aug 2009, 9:18 am
Credit Suisse Securities (USA) LLC v. [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]
25 Jan 2016, 2:17 am
On January 31, 2015, the Securities and Exchange Commission ("SEC") announced that it had entered into settlements with Barclays Capital Inc. and Credit Suisse Securities (USA) LLC concerning those firms' alleged operations of alternative trading systems, so-called "Dark Pools. [read post]
18 Jun 2007, 6:57 pm
Supreme Court decision, Credit Suisse Securities (USA) LLC, et al. v. [read post]
20 Jul 2018, 1:23 pm
Laver v Credit Suisse Securities (USA), LLC. [read post]
20 Jul 2018, 1:23 pm
Laver v Credit Suisse Securities (USA), LLC. [read post]
25 Feb 2008, 4:12 pm
Former Credit Suisse Securities USA LLC investment banker Hafiz Naseem says he will appeal his conviction for insider trading charges, which include 1 count of conspiracy and 28 counts of securities fraud involving stolen nonpublic data allegedly used for insider trading that generated at least $7.5 million. [read post]
