Tag Archives: Sanford Michael Katz

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 […]

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