Violation Tracker Individual Record
Company:Credit Suisse Securities (USA) LLC
Date:September 28, 2015
Offense Group:miscellaneous offenses
Primary Offense:data submission deficiencies
The Securities and Exchange Commission charged Credit Suisse Securities (USA) LLC with submitting deficient information to the agency over a two-year period about trades done by its customers.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:Switzerland
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking & securities
Source of Data:
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