Violation Tracker Parent Company Summary
Top 10 Primary Offense Types | Penalty Total | Number of Records |
---|---|---|
toxic securities abuses | $6,336,500,000 | 5 |
tax violations | $2,515,000,000 | 2 |
economic sanction violation | $536,000,000 | 2 |
investor protection violation | $495,812,710 | 11 |
foreign exchange market manipulation | $135,000,000 | 1 |
securities issuance or trading violation | $105,665,000 | 3 |
banking violation | $100,000,000 | 1 |
accounting fraud or deficiencies | $90,000,000 | 1 |
Foreign Corrupt Practices Act | $76,729,916 | 2 |
data submission deficiencies | $4,250,000 | 1 |
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 or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.
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.
Individual Penalty Records:
Click on the company or penalty amount for more information on each case.
Company | Primary Offense Type | Year |
Agency![]() |
Penalty Amount |
---|---|---|---|---|
Credit Suisse Securities (USA) LLC | toxic securities abuses | 2016 | VA-AG | $1,200,000 |
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 AG | economic sanction violation | 2009 | NY-MANDA | $268,000,000 |
Credit Suisse AG | foreign exchange market manipulation | 2017 | NY-DFS | $135,000,000 |
Credit Suisse AG | tax violations | 2014 | NY-DFS | $715,000,000 |
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 | 2011 | NJ-AG | $1,057,996 |
Credit Suisse | toxic securities abuses | 2016 | NCUA | $50,300,000 |
Credit Suisse First Boston Corp. | investor protection violation | 2002 | MULTI-AG | (*) $200,000,000 |
Credit Suisse | toxic securities abuses | 2014 | FHFA | $885,000,000 |
Credit Suisse AG | banking violation | 2014 | FED | $100,000,000 |
Credit Suisse AG | tax violations | 2014 | DOJ_TAX | $1,800,000,000 |
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 | toxic securities abuses | 2017 | DOJ_CIVIL | $5,280,000,000 |
Credit Suisse | securities issuance or trading violation | 2016 | CFTC | $665,000 |
