Tag Archives: Credit Suisse Securities (USA) LLC

Credit Suisse Stockbroker Sanctioned For Unauthorized Trading

June 24, 2020  |   Posted by :   |   Unauthorized Trading   |   Comments Off on Credit Suisse Stockbroker Sanctioned For Unauthorized Trading

Albert Dishner of New York New York a stockbroker formerly associated with Credit Suisse Securities (USA) LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he facilitated unauthorized transactions in the account of a Credit Suisse customer. Letter of Acceptance […]

Read More »

SEC Fines Credit Suisse Broker For Breach Of Fiduciary Duty

December 13, 2018  |   Posted by :   |   Investment and Regulatory News, Mutual Fund Fraud   |   0 Comments

Sanford Michael Katz of San Francisco California a stockbroker formerly registered with Credit Suisse Securities (USA) LLC has been censured and fined $850,000.00 by Securities and Exchange Commission (SEC) according to an Order instituting Administrative and Cease and Desist Proceedings Making Findings and Imposing Remedial Sanctions in which Katz was found to have breached his […]

Read More »

Credit Suisse Accused Of Unsuitable ETF Trading

January 26, 2018  |   Posted by :   |   Inverse/Leveraged ETF Funds, Investment and Regulatory News   |   0 Comments

Anthony John O’Callaghan, of New York, New York, a stockbroker formerly employed with Credit Suisse Securities (USA) LLC, is the subject of a customer initiated investment related written complaint on February 23, 2017, in which the customer requested $57,298.00 in damages supported by allegations that an inappropriate inverse exchange traded fund transaction was effected in […]

Read More »

Credit Suisse Securities Sued For Suitability

Nicole Marie Andres, of New York, New York, a stockbroker formerly registered with Credit Suisse Securities (USA) LLC, is the subject of a customer initiated investment related written complaint on January 30, 2017, in which the customer requested $44,355.00 in damages based upon allegations that Andres made unsuitable investment recommendations to the customer concerning exchange […]

Read More »

Credit Suisse Securities Sued for Churning

Albert Dishner, of New York, New York, a stockbroker formerly registered with Credit Suisse Securities (USA) LLC, has been named in a customer initiated investment related arbitration claim, which settled on December 30, 2016, for $205,000.00 in damages based upon allegations that include churning, excessive trading, violation of state and federal securities laws, violation of […]

Read More »

Credit Suisse Securities Stockbroker Suspended For Unauthorized Trading

Kai Chen, of San Francisco, California, a stockbroker formerly registered with Credit Suisse Securities (USA) LLC, has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) in any capacity after consenting to findings that he exercised discretion in customer accounts without authorization. Letter of Acceptance, Waiver and Consent, No. 2013039280301 (Dec. […]

Read More »