Tagged with "Credit Suisse"

Former Credit Suisse Advisor Prevails in Deferred Compensation Claim

Posted on June 23rd, 2022 at 1:21 PM
Former Credit Suisse Advisor Prevails in Deferred Compensation Claim

A former Credit Suisse advisor has prevailed on a $2.2 million arbitration claim after alleging that the firm improperly withheld his deferred compensation when it discontinued its U.S. brokerage business in 2015. 

 
 

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FINRA’s Ten Largest BD Arbitration Awards in 2019

Posted on October 16th, 2019 at 2:29 PM
FINRA’s Ten Largest BD Arbitration Awards in 2019

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:

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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
FINRA Arbitration Panel Orders Credit Suisse to Pay Former Advisor More Than $844,000 in Deferred Compensation

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.

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Wells Fargo Set to Purchase Credit Suisse US Private Bank

Posted on October 27th, 2015 at 4:39 PM
Wells Fargo Set to Purchase Credit Suisse US Private Bank

Almost 250 ‘Relationship Managers’ and hundreds more operations personnel and executives at Credit Suisse US Private Bank officially may become part of Wells Fargo.

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Wells Fargo Set to Purchase Credit Suisse’ Private Bank

Posted on October 20th, 2015 at 5:25 PM
Wells Fargo Set to Purchase Credit Suisse’ Private Bank

Almost 250 ‘Relationship Managers’ and hundreds more operations personnel and executives at Credit Suisse US Private Bank will officially become part of Wells Fargo.

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10 Firms Fined for Allowing Equity Analysts to Solicit IB Business

Posted on December 30th, 2014 at 9:56 AM
10 Firms Fined for Allowing Equity Analysts to Solicit IB Business

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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