ERC721

The Financial Industry Regulatory Authority fined Credit Suisse Securities (USA) LLC $1.75 million for violating Regulation SHO and failing to properly supervise short sales of securities and marking of sale orders. As a result of these violations, Credit Suisse entered millions of short sale orders without reasonable grounds to believe that the securities could be borrowed and delivered and mismarked thousands of sales orders. For more info visit https://www.finra.org/media-center/news-releases/2011/finra-fines-credit-suisse-securities-175-million-regulation-sho

Name

886

Owner

0x6041f881358C71D64bc9253c9ba0391DF69F7d98

ID#886

Rarity

X-LO:85%

Parent Company

Credit Suisse

EX:3%

Company

Credit Suisse Securities (USA) LLC

EX:1%

Violation

Financial Market Violations

X-HI:14%

Penalty

$1,750,000.00

EX:MAX

Year

2011