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October 07, 2015 4:04 PM ET

Capital Markets

Company Overview of Credit Suisse Securities (USA) LLC

Company Overview

Credit Suisse Securities (USA) LLC operates as an investment bank in the United States. Its businesses include securities underwriting, sales and trading, investment banking, private equity, alternative assets, financial advisory services, investment research, and asset management. The company offers services in investment banking, capital markets, and financial services segments for institutional, corporate, government, and high net worth clients. Credit Suisse Securities (USA) LLC was formerly known as Credit Suisse First Boston Corporation. The company was formed in 1997 and is based in New York, New York. Credit Suisse Securities (USA) LLC operates as a subsidiary of Credit Suisse (USA),...

11 Madison Avenue

24th Floor

New York, NY 10010

United States

Founded in 1997



Key Executives for Credit Suisse Securities (USA) LLC

Managing Director
Age: 49
Head of San Francisco and Managing Director of Private Banking USA business
Vice Chairman of Private Banking - North America
Head of New York Branch and Managing Director of Private Banking USA business
Compensation as of Fiscal Year 2015.

Credit Suisse Securities (USA) LLC Key Developments

Credit Suisse Securities (USA) LLC to Pay $4.25 Million Penalty and Admits to Providing Deficient Blue Sheet Trading Data

The Securities and Exchange Commission charged Credit Suisse Securities (USA) LLC with submitting deficient information to the agency over a two-year period about trades done by its customers, commonly referred to as blue sheet data. Credit Suisse Securities, agreed to settle the charges by paying a $4.25 million penalty and admitting it violated the recordkeeping and reporting provisions of the federal securities laws. It also agreed to be censured and to cease and desist future violations of the books and records provisions of the federal securities laws. According to the SEC's order instituting settled administrative proceedings, broker-dealers like Credit Suisse are required upon request to electronically provide the SEC with blue sheet data so the agency can use it to identify and analyze trades in the course of investigations and other work. The term 'blue sheet' stems from the color of the forms originally mailed to broker-dealers to complete and return to the SEC. Credit Suisse admitted to the findings in the SEC's order that from January 2012 to January 2014, it made at least 593 deficient blue sheet submissions to the SEC, omitting more than 553,400 reportable trades representing 1.3 billion shares. Credit Suisse identified certain technological and human errors as the root cause of the deficient blue sheet submissions. Credit Suisse subsequently implemented several changes designed to ensure the accuracy of its blue sheets, including measures to prevent, detect, and correct blue sheet data errors.

Homeinns selects Credit Suisse Securities as Financial Advisor and Simpson as Legal Counsel

Homeinns Hotel Group announced that its special committee of independent directors of the Company's Board of Directors (the "Special Committee") has selected Credit Suisse Securities (USA) LLC ("Credit Suisse") as its financial advisor and Simpson Thacher&Bartlett LLP ("STB") as its legal counsel. Credit Suisse and STB will assist the Special Committee with its work in connection with evaluating the proposed Transaction. The Board cautions the Company's shareholders and others considering trading in its securities that no decisions have been made by the Special Committee with respect to the Company's response to the proposed Transaction. There can be no assurance that any definitive offer will be made, that any agreement will be executed or that this or any other transaction will be approved or consummated. The Company does not undertake any obligation to provide any updates with respect to this or any other transaction, except as required under applicable law.

Credit Suisse Securities (USA) LLC Presents at 28th Annual Marine Money Week, Jun-18-2015 04:00 PM

Credit Suisse Securities (USA) LLC Presents at 28th Annual Marine Money Week, Jun-18-2015 04:00 PM. Venue: The Piere Hotel, New York City, New York, United States. Speakers: Gregory Lewis, Vice President, Equity Research.

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