February 21, 2014
Posted January 26, 2016
The SEC charged Zurich-based Credit Suisse Group AG for violating the federal securities laws by providing cross-border brokerage and investment advisory services to U.S. clients without first registering with the SEC. Credit Suisse agreed to pay $196M and admit wrongdoing to settle the SEC’s charges. SEC
Tagged in: Regulatory Violations, Securities Fraud,