Defendant Name: Credit Suisse First Boston LLC

Defendant Type: Subsidiary of Public Company
Public Company Parent: Credit Suisse Group AG
SIC Code: 6211
CUSIP: 22540110

Initial Case Details

Legal Case Name SEC v. Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation
First Document Date 28-Apr-2003
Initial Filing Format Civil Proceeding
Case Number 03-cv-02946
Allegation Type Investment Advisers/Investment Companies
Federal District Court New York, Southern District of New York

Violations Alleged

Other
• Sections 15(c)(1), 15(c)(2), 17(a)(1) Exchange Act; Rules 15c1-2, 17a-3 Exchange Act; Rules 2110, 2210(d)(1) 2210(d)(2), 3010, 3110 Conduct Rules of NASD; Rules 342, 401, 440, 472, 476(a)(6) NYSE

Resolutions

First Resolution Date 31-Oct-2003
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

comp18110 28-Apr-2003 Complaint
Complaint
According to the SEC: "CSFB used its equity research analysts to help solicit and conduct investment banking business. By providing incentives for equity research analysts to assist in the generation of investment banking revenues, CSFB created and fostered an environment with conflicts of interest that, in some circumstances, undermined the independence of research analysts and affected the objectivity of the reports they issued."
judg18110 31-Oct-2003 Court Docket Document
Final Judgment as to Defendant Credit Suisse First Boston LLC, F/K/A Credit Suisse First Boston Corporation
LR-21457 19-Mar-2010 Litigation Release
Court Approves Modifications to Global Research Analyst Settlement
On March 19, 2010, the SEC published a litigation release announcing that the Honorable William H. Pauley issued an order approving modifications to the final judgments entered against Credit Suisse First Boston LLC and the other firms covered by the Global Research Analyst Settlement.
LR-26434_03-cv-02946 05-Dec-2025 Litigation Release
Global Research Analyst Settlement; SEC Consents to Termination of Undertakings in Global Research Analyst Settlement
On December 5, 2025, the SEC stated that: "[It] consented to modifications to the October 2003 . . . and September 2004 . . . final judgments against settling firms still covered by the Global Research Analyst Settlement, a global settlement of SEC and other enforcement actions against twelve investment banks and two individuals. The modifications are subject to court approval."
court_doc144_03-cv-02946 05-Dec-2025 Court Docket Document
Notice Regarding Defendants' Rule 60(b) Motion to Modify Addendum A of Global Research Settlement
The SEC stated: "[T]he Securities and Exchange Commission (SEC) consents to the relief sought by the motions and agrees that the final judgments should be modified as reflected in the proposed orders submitted by each respective Defendant. . . . Based on these unique facts and circumstances, the SEC believes modification of the Judgment is in the public interest."
court_doc147_03-cv-02946 16-Dec-2025 Court Docket Document
Order
The Court stated: "On December 5, 2025, Defendants . . . filed a motion . . . requesting that this Court further modify Addendum A by terminating the remaining provisions in Sections I and II. . . . Defendants’ request is GRANTED."