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:
$10,409,957,626
Number of records:
31
| Top 5 Offense Groups (Groups Defined) | Penalty Total | Number of Records |
|---|---|---|
| financial offenses | $10,193,977,710 | 27 |
| competition-related offenses | $211,729,916 | 3 |
| miscellaneous offenses | $4,250,000 | 1 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
|---|---|---|
| toxic securities abuses | $6,336,500,000 | 5 |
| tax violations | $2,515,000,000 | 2 |
| investor protection violation | $616,477,710 | 16 |
| economic sanction violation | $536,000,000 | 2 |
| foreign exchange market manipulation | $135,000,000 | 1 |
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 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.
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:
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 |
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 | investor protection 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 | tax violations | 2014 | NY-DFS | $715,000,000 |
| Credit Suisse AG | foreign exchange market manipulation | 2017 | NY-DFS | $135,000,000 |
| Credit Suisse Securities | investor protection violation | 2016 | NY-AG | $30,000,000 |
| Credit Suisse Securities (USA) LLC | investor protection 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 LLC | investor protection violation | 2003 | MULTI-FIN | (*) $75,000,000 |
| Credit Suisse Securities (USA) LLC | investor protection violation | 2008 | MULTI-FIN | $15,000,000 |
| 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 | investor protection violation | 2016 | CFTC | $665,000 |
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