Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Credit Suisse Securities
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: $30,000,000
Year: 2016
Date: February 1, 2016
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Credit Suisse agreed to pay $30 million to New York to settle allegations that it misled investors by making false statements and omissions in connection with the marketing of its dark pools and other high-speed electronic equities trading services.
Level of Government: state
Action Type: agency action
Agency: New York Attorney General
Civil or Criminal Case: civil
Facility State: New York
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.