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45 Violation Tracker results found
Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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Company Parent Parent Major Industry Primary Offense Type Yearsort icon Agency Penalty Amount
Credit Suisse Credit Suisse financial services investor protection violation 2021 CFTC $1,500,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services investor protection violation 2020 SEC $600,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services investor protection violation 2019 FINRA $6,500,000
Credit Suisse (Hong Kong) Limited Credit Suisse financial services Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $47,029,916
Credit Suisse Group AG Credit Suisse financial services Foreign Corrupt Practices Act 2018 SEC $29,700,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services investor protection violation 2018 SEC $5,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services investor protection violation 2018 NY-AG (*) $10,000,000
Credit Suisse Credit Suisse financial services toxic securities abuses 2017 DOJ_CIVIL $5,280,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services investor protection violation 2017 SEC $5,754,714
Credit Suisse AG Credit Suisse financial services foreign exchange market manipulation 2017 NY-DFS $135,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services investor protection violation 2016 SEC $54,300,000
Credit Suisse Credit Suisse financial services toxic securities abuses 2016 NCUA $50,300,000
Credit Suisse Credit Suisse financial services investor protection violation 2016 CFTC $665,000
Credit Suisse AG Credit Suisse financial services accounting fraud or deficiencies 2016 SEC $90,000,000
Credit Suisse Securities Credit Suisse financial services investor protection violation 2016 NY-AG $30,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services toxic securities abuses 2016 VA-AG $1,200,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services anti-money-laundering deficiencies 2016 FINRA $16,500,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services data submission deficiencies 2015 SEC $4,250,000
Credit Suisse AG Credit Suisse financial services banking violation 2014 FED $100,000,000
Credit Suisse Group AG Credit Suisse financial services investor protection violation 2014 SEC $196,000,000
Credit Suisse Credit Suisse financial services toxic securities abuses 2014 FHFA $885,000,000
Credit Suisse AG Credit Suisse financial services tax violations 2014 DOJ_TAX $1,800,000,000
Credit Suisse AG Credit Suisse financial services tax violations 2014 NY-DFS $715,000,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services investor protection violation 2014 FINRA $5,000,000
Credit Suisse Securities (USA) Credit Suisse financial services toxic securities abuses 2012 SEC $120,000,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC Credit Suisse financial services investor protection violation 2011 SEC $2,500,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services investor protection violation 2011 NJ-AG $1,057,996
Credit Suisse Securities (USA) LLC Credit Suisse financial services investor protection violation 2011 FINRA $1,750,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services investor protection violation 2011 FINRA $4,500,000
Credit Suisse AG Credit Suisse financial services economic sanction violation 2009 DOJ_CRIMINAL $268,000,000
Credit Suisse AG Credit Suisse financial services economic sanction violation 2009 NY-MANDA $268,000,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services investor protection violation 2009 FINRA $275,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services investor protection violation 2008 MULTI-FIN $15,000,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services investor protection violation 2006 FINRA $225,000
Credit Suisse First Boston, LLC Credit Suisse financial services investor protection violation 2005 SEC $200,000
Donaldson, Lufkin & Jenrette Securities Corp. Credit Suisse financial services investor protection violation 2004 SEC $1,000,000
Credit Suisse First Boston, L.L.C. Credit Suisse financial services investor protection violation 2004 FINRA $50,000
Credit Suisse First Boston LLC Credit Suisse financial services investor protection violation 2004 FINRA $770,000
Credit Suisse First Boston LLC Credit Suisse financial services investor protection violation 2003 SEC $200,000,000
Credit Suisse First Boston LLC Credit Suisse financial services investor protection violation 2003 MULTI-FIN (*) $75,000,000
Credit Suisse First Boston Corporation Credit Suisse financial services investor protection violation 2002 SEC $100,000,000
Credit Suisse First Boston Corp. Credit Suisse financial services investor protection violation 2002 MULTI-AG (*) $200,000,000
Credit Suisse First Boston Corporation Credit Suisse financial services investor protection violation 2002 FINRA (*) $50,000,000
Credit Suisse First Boston Corporation Credit Suisse financial services investor protection violation 2001 FINRA $25,000
CS First Boston Corp. Credit Suisse financial services investor protection violation 2000 FINRA $1,240,000
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(*): Some penalties are partial or complete duplicates of other penalty records, either because a DOJ settlement duplicates an agency record or because EPA listed the full penalty for a company for each of the company's relevant facilities. Penalty amounts marked with an asterisk have been identified by Good Jobs First as duplicating other penalty amounts.