CREDIT SUISSE FIRST BOSTON LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/03/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG030072 TO: Department of Market Regulation NASD RE: Credit Suisse First Boston LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to Rule 9216 of NASD Code of Procedure, Credit Suisse First Boston LLC (the "firm" or "FBCO") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD
Reference CLG050072finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/06/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050001793-01 TO: Market Regulation Department NASD RE: Credit Suisse First Boston LLC, Respondent CRD No. 816 Pursuant to Rule 9216 of NASD Code of Procedure, Credit Suisse First Boston LLC ("Credit Suisse" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not
Reference 2005000179301data-portal.finra.orgfinra.org
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