Defendant Name: Rolf Bögli

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Rolf Bögli
First Document Date 05-Oct-2016
Initial Filing Format Administrative Action
File Number 3-17618
Allegation Type Issuer Reporting and Disclosure

Affiliations

Violations Alleged

Related Violations Alleged

Rolf Bögli is alleged to have caused Credit Suisse AG 's violation of Rule 12b-20 of the Exchange Act.
Rolf Bögli is alleged to have caused Credit Suisse AG 's violation of Sec 13(a) of the Exchange Act.
Rolf Bögli is alleged to have caused Credit Suisse AG 's violation of Rule 13a-1 of the Exchange Act.
Rolf Bögli is alleged to have caused Credit Suisse AG 's violation of Sec 17(a)(2) of the Securities Act.
Rolf Bögli is alleged to have caused Credit Suisse AG 's violation of Sec 17(a)(3) of the Securities Act.
Rolf Bögli is alleged to have caused Credit Suisse AG 's violation of Rule 13a-16 Exchange Act.

Resolutions

First Resolution Date 05-Oct-2016
Headline Total Penalty and Disgorgement $80,000

Related Documents:

33-10230 05-Oct-2016 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

Related Actions:

In the Matter of Credit Suisse AG
Credit Suisse AG