Defendant Name:
Credit Suisse Securities (USA) LLC
Defendant Type:
Subsidiary of Public Company
Document Reference:
2015-214
Document Details
Legal Case Name
In the Matter of Credit Suisse Securities (USA) LLC
Document Name
Credit Suisse to Pay $4.25 Million and Admits to Providing Deficient "Blue Sheet" Trading Data
Document Date
28-Sep-2015
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
On September 28, 2015, the SEC announced that it, "charged Credit Suisse Securities (USA) LLC with submitting deficient information to the agency over a two-year period about trades done by its customers, commonly referred to as 'blue sheet data.'"
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured