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Violation Tracker Individual Record

Company: Credit Suisse First Boston LLC
Current Parent Company: UBS
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Recap of Ownership Changes:  subscribe to see this data field
Penalty: $200,000,000
Year: 2003
Date: April 28, 2003
Offense Group: financial offenses
Primary Offense: investor protection violation
Mega-Scandal: Brokerage House Conflicts of Interest
Violation Description: The SEC -- along with the New York Attorney General, the North American Securities Administrators Association, NASD, the New York Stock Exchange and state securities regulators -- announced the completion of enforcement actions against ten of the nation's top investment firms joint investigations of allegations of undue influence of investment banking interests on securities research at brokerage firms.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: Switzerland
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking & securities
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.