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

Other
• 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

Related Documents:

34-89947 22-Sep-2020 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
The SEC stated: "These proceedings arise out of Credit Suisse's failure to submit to the Commission true and complete data in response to Commission staff electronic blue sheets ("EBS") requests, resulting in the reporting of EBS that was incomplete or deficient."
34-89947-s 22-Sep-2020 Administrative Summary
Credit Suisse Agrees to Pay $600,000 for Providing Deficient Fixed-Income Blue Sheet Data
The SEC announced: "Credit Suisse Securities (USA) LLC has agreed to settle charges for providing the SEC incomplete and inaccurate securities trading information related to fixed- income transactions for almost four years. Credit Suisse was found liable by the SEC for similar conduct in a 2015 order."