Violation Tracker Parent Company Summary

Parent Company Name: 
Credit Suisse
Ownership Structure: 
publicly traded (ticker symbol CS)
Headquartered in: 
Switzerland
Major Industry: 
financial services
Specific Industry: 
banking & securities
Penalty total since 2000: 
$9,276,957,626
Number of records: 
26
Top 10 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$6,336,500,0005
tax violations$1,800,000,0001
investor protection violation$495,812,71011
economic sanction violation$268,000,0001
securities issuance or trading violation$105,665,0003
banking violation$100,000,0001
accounting fraud or deficiencies$90,000,0001
Foreign Corrupt Practices Act$76,729,9162
data submission deficiencies$4,250,0001
Notes: 

Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Associated Names: 

CREDIT SUISSE; CREDIT SUISSE AG; CREDIT SUISSE ALTERNATIVE CAPITAL AND CREDIT SUISSE ASSET MGT; CREDIT SUISSE GROUP AG; CREDIT SUISSE HONG KONG LIMITED; Credit Suisse Securities; Donaldson, Lufkin & Jenrette Securities Corp.

Links: 

For an overview of this company's accountability track record, read its Corporate Rap Sheet here.

Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.


Individual Penalty Records:

Click on the company or penalty amount for more information on each case.
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Company Primary Offense Type Year Agencysort icon Penalty Amount
Credit Suisse securities issuance or trading violation 2016 CFTC $665,000
Credit Suisse toxic securities abuses 2017 DOJ_CIVIL $5,280,000,000
Credit Suisse AG economic sanction violation 2009 DOJ_CRIMINAL $268,000,000
Credit Suisse (Hong Kong) Limited Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $47,029,916
Credit Suisse AG tax violations 2014 DOJ_TAX $1,800,000,000
Credit Suisse AG banking violation 2014 FED $100,000,000
Credit Suisse toxic securities abuses 2014 FHFA $885,000,000
Credit Suisse First Boston Corp. investor protection violation 2002 MULTI-AG (*) $200,000,000
Credit Suisse toxic securities abuses 2016 NCUA $50,300,000
Credit Suisse Securities (USA) LLC investor protection violation 2011 NJ-AG $1,057,996
Credit Suisse Securities investor protection violation 2016 NY-AG $30,000,000
Credit Suisse Securities (USA) LLC securities issuance or trading violation 2018 NY-AG (*) $10,000,000
Credit Suisse Securities (USA) LLC investor protection violation 2016 SEC $54,300,000
Credit Suisse Securities (USA) LLC data submission deficiencies 2015 SEC $4,250,000
Credit Suisse Group AG investor protection violation 2014 SEC $196,000,000
Credit Suisse Securities (USA) toxic securities abuses 2012 SEC $120,000,000
Credit Suisse First Boston LLC investor protection violation 2003 SEC $200,000,000
Credit Suisse First Boston Corporation securities issuance or trading violation 2002 SEC $100,000,000
Credit Suisse AG accounting fraud or deficiencies 2016 SEC $90,000,000
Credit Suisse Securities (USA) LLC investor protection violation 2017 SEC $5,754,714
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC investor protection violation 2011 SEC $2,500,000
Credit Suisse Group AG Foreign Corrupt Practices Act 2018 SEC $29,700,000
Credit Suisse Securities (USA) LLC investor protection violation 2018 SEC $5,000,000
Credit Suisse First Boston, LLC investor protection violation 2005 SEC $200,000
Donaldson, Lufkin & Jenrette Securities Corp. investor protection violation 2004 SEC $1,000,000
Credit Suisse Securities (USA) LLC toxic securities abuses 2016 VA-AG $1,200,000
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