As the year comes to an end, ThinkAdvisor has released the Financial Industry Regulatory Authority’s (FINRA’s) 10 largest broker-dealer (BD) arbitration awards in 2019. They are, in order from highest to lowest:
Tagged with "Credit Suisse"
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FINRA Arbitration Panel Orders Credit Suisse to Pay Former Advisor More Than $844,000 in Deferred Compensation
Posted on October 30th, 2018 at 4:30 PM
A FINRA arbitration panel has ordered Credit Suisse to pay an advisor more than $844,000 in unpaid deferred compensation accruing until 2015 when the firm shuttered its U.S. wealth management unit.
Wells Fargo Set to Purchase Credit Suisse US Private Bank
Posted on October 27th, 2015 at 4:39 PM
Almost 250 ‘Relationship Managers’ and hundreds more operations personnel and executives at Credit Suisse US Private Bank officially may become part of Wells Fargo.
Wells Fargo Set to Purchase Credit Suisse’ Private Bank
Posted on October 20th, 2015 at 5:25 PM
Almost 250 ‘Relationship Managers’ and hundreds more operations personnel and executives at Credit Suisse US Private Bank will officially become part of Wells Fargo.
10 Firms Fined for Allowing Equity Analysts to Solicit IB Business
Posted on December 30th, 2014 at 9:56 AM
FINRA has fined 10 firms a total of $43.5 million for allowing their equity research analysts to solicit investment banking business and for offering favorable research coverage in connection with the 2010 planned initial public offering of Toys R Us.
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