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https://www.sec.gov/litigation/complaints/complr17327.htm
Credit Suisse First Boston Corporation is a broker-dealer registered with the Commission pursuant to Section 15 of the Exchange Act, 15 U.S.C. § 78o. CSFB's principal offices are located at 11 Madison Avenue, New York, New York 10010.
https://www.sec.gov/news/press-release/2018-224
Sep 28, 2018 · The SEC’s order finds that Credit Suisse negligently violated Section 17(a)(2) of the Securities Act. In addition to imposing the penalty, the SEC’s order censures Credit Suisse and requires that it cease and desist from further violations. Credit Suisse consented to the SEC’s order without admitting or denying the findings.
https://www.credit-suisse.com/us/en/investment-banking/financial-regulatory/customer-notices.html
In relation to Credit Suisse International, Credit Suisse Securities (Europe) Limited, Credit Suisse AG, London Branch, Credit Suisse AG Dublin Branch and Credit Suisse Securities, Sociedad de Valores, S.A. information regarding the process to be followed when handling a MiFID complaint, the complaints handling policy and contact details of the ...
https://law.justia.com/cases/new-york/appellate-division-first-department/2016/451802-12-1336.html
People v Credit Suisse Sec. (USA) LLC 2016 NY Slip Op 08339 Decided on December 13, 2016 Appellate Division, First Department Published by New York State Law Reporting Bureau pursuant to Judiciary Law § 431.
https://news.bloomberglaw.com/daily-labor-report/ex-credit-suisse-advisers-pay-case-tests-reach-of-finra-rule
Feb 13, 2020 · But Credit Suisse refused to pay Laver’s outstanding deferred compensation, saying he forfeited it by resigning from the company, according to his complaint. Laver sued Credit Suisse in 2018 on behalf of “hundreds” of other financial advisers who lost out on deferred compensation, alleging breach of contract and other tort claims.
https://www.justice.gov/opa/pr/credit-suisse-pleads-guilty-conspiracy-aid-and-assist-us-taxpayers-filing-false-returns
May 19, 2014 · Earlier this year, Credit Suisse paid approximately $196 million in disgorgement, interest and penalties to the Securities and Exchange Commission (SEC) for violating the federal securities laws by providing cross-border brokerage and investment advisory services to U.S. clients without first registering with the SEC.
https://www.the-securities-lawyers.com/blog/2018/12/18/credit-suisse-s-xiv-exchange-traded-195495
Dec 18, 2018 · Credit Suisse’s Misrepresentations. Credit Suisse promised potential investors that it would constantly update the value of XIV. Credit Suisse also claimed that the value was calculated by S&P in real time from real time prices of VIX futures contracts. These claims were false and misleading.
https://www.ft.com/content/a47bb2c0-8b2b-11e6-8aa5-f79f5696c731
Oct 05, 2016 · Andrew Ceresney, director of the SEC’s enforcement division, said: “Credit Suisse conveyed to the investing community that it followed a structured process …
https://thehill.com/policy/finance/395620-credit-suisse-to-pay-77m-over-bribery-law-violations
Credit Suisse agreed to pay the SEC $24.9 million to cover profits made from the referral hires, along with $4.8 million in interest. ... according to the complaint. The SEC alleged that Credit ...
https://www.justice.gov/opa/pr/residential-mortgage-backed-securities-working-group-members-announce-charges-against-credit
Nov 20, 2012 · Residential Mortgage-Backed Securities Working Group Co-Chair New York Attorney General Eric T. Schneiderman today 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 RMBS to investors.
https://www.law.cornell.edu/supct/html/05-1157.ZS.html
CREDIT SUISSE SECURITIES (USA) LLC, fka CREDIT ... there is a “clear repugnancy” between the securities law and the antitrust complaint, i.e., whether the two are ... the fact that the SEC is itself required to take account of competitive considerations when it creates securities-related policy and embodies it in rules and regulations makes ...
https://finance.yahoo.com/news/credit-suisse-patrice-lescaudron-fraud-130345221.html
Jul 15, 2019 · Credit Suisse itself has paid far less of a price, which perhaps explains why Lescaudron’s former clients seem to be not so much angry with the banker as they are with the bank itself.Author: Contributor
https://ag.ny.gov/press-release/2016/ag-schneiderman-announces-landmark-resolutions-barclays-and-credit-suisse
NEW YORK – Attorney General Eric T. Schneiderman today announced that Barclays Capital Inc. and Credit Suisse Securities (USA) LLC will pay a combined $154.3 million to the State of New York and the SEC to settle investigations into false statements and omissions made in connection with the marketing of their respective dark pools and other high-speed electronic equities
https://www.finra.org/media-center/newsreleases/2019/finra-exchanges-fine-credit-suisse-65-million-supervision-mkt-access
WASHINGTON—FINRA, Cboe Global Markets, The Nasdaq Stock Market LLC, the New York Stock Exchange, and their affiliated Exchanges (collectively, “Exchanges”) today announced that they censured Credit Suisse Securities (USA) LLC, and fined the firm a total of $6.5 million for supervisory violations and violations of various provisions of Rule 15c3-5 of the Securities Exchange Act of 1934 ...
https://www.dandodiary.com/wp-content/uploads/sites/893/2019/11/SmileDirect-MDTenn-Complaint.pdf
llc, credit suisse securities (usa) llc, guggenheim securities, llc, stifel, nicolaus & company, incorporated, william blair & company, l.l.c., and loop capital markets llc, defendants, case no.: class action complaint for violations of the federal securities laws jury trial demanded
https://www.marketwatch.com/story/the-auditor-of-citi-credit-suisse-and-deutsche-bank-was-tipped-off-before-regulatory-inspection-2018-06-20
Jun 20, 2018 · The auditor of some of the world’s largest banks including Citigroup, Credit Suisse and Deutsche Bank was tipped off before a regulator inspected them.
https://www.pbs.org/wgbh/frontline/article/too-big-to-jail-the-top-10-civil-cases-against-the-banks/
Jan 22, 2013 · JPMorgan Chase and Credit Suisse. The SEC won a combined $417 million settlement from JPMorgan and Credit Suisse in November over charges that the two firms misled investors in …Author: Jason M. Breslow
https://ag.ny.gov/press-release/2012/ag-schneiderman-sues-credit-suisse-fraudulent-residential-mortgage-backed
Nov 20, 2012 · NEW YORK – Attorney General Eric T. Schneiderman today 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. According to Attorney General Schneiderman’s lawsuit, Credit Suisse deceived investors as to
http://securities.stanford.edu/filings-case.html?id=105063
Jun 17, 2013 · The ECD common stock prospectus supplement filed with the SEC and dated June 18, 2008 ("Common Stock Prospectus") disclosed that 3,444,975 shares being offered were shares being loaned to the Credit Suisse defendants pursuant to a share lending agreement ("Share Lending Agreement"). Through a series of actions, including a public offering, a ...
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