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
- Current: COO at Credit Suisse AG (From 2009)
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