Defendant Name:
Credit Suisse Securities (USA) 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
In the Matter of Credit Suisse Securities (USA) LLC
First Document Date
22-Sep-2020
Initial Filing Format
Administrative Action
File Number
3-20040
Allegation Type
Broker Dealer
Violations Alleged
•
Section 17(a)(1) Exchange Ac; Rules 17a-4(j), 17a-25 Exchange Act.
Resolutions
First Resolution Date
22-Sep-2020
Headline Total Penalty and Disgorgement
$600,000