Defendant Name: Samir H. Bhatt

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt
First Document Date 19-Oct-2011
Initial Filing Format Administrative Action
File Number 3-14594
Allegation Type Investment Advisers/Investment Companies

Affiliations

Violations Alleged

Securities Act
• Sec 17(a)(2)

Related Violations Alleged

Samir H. Bhatt is alleged to have aided and abetted Credit Suisse Alternative Capital, LLC's violation of Section 206(2) Investment Advisers Act.

Resolutions

Bars:
First Resolution Date 19-Oct-2011

Related Documents:

33-9268 19-Oct-2011 Administrative Proceeding
Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-And-Desist Orders
34-78659-pdp 24-Aug-2016 Administrative Proceeding
Proposed Plan of Distribution
34-78659 24-Aug-2016 Administrative Proceeding
Notice of Proposed Plan of Distribution and Opportunity for Comment
34-81064_3-14594 30-Jun-2017 Administrative Proceeding
Notice of Name Change of Appointed Tax Administrator

Other Defendants in Action:

Credit Suisse Alternative Capital, LLC
CREDIT SUISSE ASSET MANAGEMENT, LLC

Related Actions:

SEC v. Citigroup Global Markets Inc.
Citigroup Global Markets Inc.
SEC v. Brian H. Stoker
Brian Stoker