Credit Suisse Securities Sanctioned After Being Accused of Reporting Violations

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Credit Suisse Securities (USA) LLC was fined and censured by the Financial Industry Regulatory Authority (“FINRA”) relating to allegations that Credit Suisse failed to timely report orders and transmitted reports that contained inaccurate, incomplete, or improperly formatted data. FINRA’s Department of Market Regulation had staff members review Credit Suisse Securities’ compliance with FINRA rules applicable… Read more »