CREDIT SUISSE SECURITIES (USA) LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 816). Regulatory assets under management: $805.3M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance, Other.
Clients served: Investment cos.
Showing 25 of 142 people.
| Name | Role | Location |
|---|---|---|
| Moran Michael | MANAGING DIRECTOR | Lempster, NH |
| James A Evans | BOARD MEMBER, MANAGING DIRECTOR | Downers Grove, IL |
| Ryan David | BOARD MEMBER, DIRECTOR | Jenks, OK |
| James Thomas Evans | BOARD MEMBER, MANAGING DIRECTOR | Cincinnati, OH |
| James D Evans | BOARD MEMBER, MANAGING DIRECTOR | Hillsboro, OH |
| James Lee Evans | BOARD MEMBER, MANAGING DIRECTOR | — |
| Thomas G Wipf | CHIEF EXECUTIVE OFFICER, BOARD MEMBER | — |
| Maria Chiodi | GENERAL COUNSEL | — |
| Gary Hassell | HEAD OF OPERATIONS | — |
| Wayne J Powers | CHIEF FINANCIAL OFFICER | — |
| Jignesh R Doshi | BOARD MEMBER | — |
| Patrick Dimarco | CHIEF COMPLIANCE OFFICER FOR THE BROKER DEALER & THE INVESTMENT ADVISOR | — |
| DELL'ARENA ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER (CCO) FOR INVESTMENT ADVISER | — |
| RADEST MICHAEL BENJAMIN | DIRECTOR OF COMPLIANCE | — |
| BURKE CHRISTOPHER JOHN | BOARD MEMBER | — |
| DECONGELIO FRANK JOSEPH JR | CHIEF OPERATIONS OFFICER; CHIEF OPERATIONS OFFICER (COO) | — |
| RUSSO LORI MICHELE | SECRETARY | — |
| EHINGER JOHN ANTHONY | BOARD MEMBER, DIRECTOR; MANAGING DIRECTOR | — |
| MEYER EUGENE ALLEN | CHIEF COMPLIANCE OFFICER (CCO); DIRECTOR OF COMPLIANCE | — |
| YATES SIMON DANIEL | SENIOR REGISTERED OPTIONS PRINCIPAL | — |
| OKEEFE PAUL JOSEPH | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER, FINOP (CFO) | — |
| HEALY JAMES PETER | BOARD MEMBER, DIRECTOR | — |
| DOUGAN BRADY WILLIAM | BOARD MEMBER, MANAGING DIRECTOR; BOARD MEMBER, PRESIDENT, CEO | — |
| RADEY DONALD NEIL | GENERAL COUNSEL | — |
| GLUCK GARY STUART | TREASURER | — |
Showing 10 of 296 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-12-13 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ENTERED AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS (THE "SEC ORDER") AGAINST CREDIT SUISSE ASSET MANAGEMENT, LLC ("CSAM") AND CERTAIN OF ITS AFFILIATES IN CONNECTION WITH CSAM CONTINUING TO SERVE AS INVESTMENT ADVISER TO REGIST… | Final | $10.1M |
| 2023-12-13 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ENTERED AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS (THE "SEC ORDER") AGAINST CREDIT SUISSE ASSET MANAGEMENT, LLC ("CSAM") AND CERTAIN OF ITS AFFILIATES IN CONNECTION WITH CSAM CONTINUING TO SERVE AS INVESTMENT ADVISER TO REGIST… | Final | $1.0M |
| 2023-11-17 | civil | PLAINTIFFS HAD ALLEGED THAT DEFENDANTS CONSPIRED TO BLOCK THE EVOLUTION OF THE STOCK LENDING MARKET FROM AN OVER-THE-COUNTER ENVIRONMENT, IN WHICH STOCK LOANS ARE INTERMEDIATED BY PRIME BROKERS, TO A MORE EXCHANGE-LIKE ENVIRONMENT. | Final | — |
| 2023-07-24 | regulatory | ON OR ABOUT JULY 24, 2023, THE SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY (FINMA) CONCLUDED PROCEEDINGS AGAINST CREDIT SUISSE, FINDING THAT CREDIT SUISSE HAD SERIOUSLY AND SYSTEMATICALLY VIOLATED FINANCIAL MARKET LAW IN ITS RELATIONSHIP WITH THE ARCHEGOS FAMILY OFFICE DUE TO VARIOUS ORGANIZATIONAL… | Final | — |
| 2023-07-21 | regulatory | THE FRB CONSENT ORDER, ARISING FROM RISK MANAGEMENT FAILINGS ASSOCIATED WITH THE MARCH 2021 DEFAULT OF ARCHEGOS CAPITAL MANAGEMENT LP, ALLEGES VIOLATIONS UNDERSECTION 8(I)(2) OF THE FEDERAL DEPOSIT INSURANCE ACT, AS WELL AS SECTIONS 252.155-157 OF REGULATION VY OF THE BOARD OF GOVERNORS; THE ALLEGAT… | Final | $268.5M |
| 2022-09-27 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("COMMISSION") FOUND THAT FROM 2018 TO SEPTEMBER 2022 ("RELEVANT PERIOD") UBS FINANCIAL SERVICES INC., UBS SECURITIES LLC, AND UBS AG (COLLECTIVELY "UBS" OR "RESPONDENTS") VIOLATED SECTIONS 4G,4S(F)(L)(C), 4S(G)(1) AND (3), AND4S(H)(L)(B) OF THE COMMODITY EXC… | Final | $75.0M |
| 2021-11-10 | regulatory | ON JULY 21, 2023, THE UK PRUDENTIAL REGULATION AUTHORITY ISSUED A FINAL NOTICE TO CREDIT SUISSE INTERNATIONAL (CSI) AND CREDIT SUISSE SECURITIES (EUROPE) LTD (CSSEL) CONCERNING VARIOUS RISK MANAGEMENT AND GOVERNANCE FAILINGS ASSOCIATED WITH THE MANAGEMENT OF CREDIT SUISSE'S RELATIONSHIP WITH ARCHEGO… | Final | $119.2M |
| 2021-11-10 | regulatory | ON JULY 21, 2023, THE UK PRUDENTIAL REGULATION AUTHORITY ISSUED A FINAL NOTICE TO CREDIT SUISSE INTERNATIONAL(CSI) AND CREDIT SUISSE SECURITIES (EUROPE) LTD (CSSEL) CONCERNING VARIOUS RISK MANAGEMENT AND GOVERNANCEFAILINGS ASSOCIATED WITH THE MANAGEMENT OF CREDIT SUISSE'S RELATIONSHIP WITH ARCHEGOS… | Final | $119.2M |
| 2021-10-19 | regulatory | THE SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY ("FINMA") BROUGHT AN ACTION AGAINST CREDIT SUISSE INTERNATIONAL, CREDIT SUISSE SECURITIES (EUROPE) LTD., AND CREDIT SUISSE GROUP AG IN CONNECTION WITH THREE INTERCONNECTED TRANSACTIONS FROM 2013 - 2016: (I) A SYNDICATED LOAN TO A MOZAMBICAN STATE-OWNE… | Final | — |
| 2021-10-19 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") BROUGHT AN ENFORCEMENT ACTION AGAINST CREDIT SUISSE GROUP AG ("CS GROUP") PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933 ("SECURITIES ACT") AND SECTION 21C OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT"), WHICH THAT CS GROUP VIOLATED SECTI… | Final | $99.1M |
Showing 15 of 20 funds by gross asset value.
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| DEP CAN, L.P. | Private Equity Fund | Delaware | 5 | $2.8B | $185K |
| DEP MH, L.P. | Private Equity Fund | Delaware | 5 | $101.5M | $250K |
| DEP RL, L.P. | Private Equity Fund | Cayman Islands | 6 | $95.2M | $330K |
| DEP IM, L.P. | Private Equity Fund | Delaware | 7 | $82.3M | $250K |
| DEP RJ, L.P. | Private Equity Fund | Delaware | 6 | $63.9M | $530K |
| DEP AU, L.P. | Private Equity Fund | Cayman Islands | 4 | $63.6M | $330K |
| DEP UI, L.P. | Private Equity Fund | Delaware | 4 | $49.5M | $286K |
| DEP EA, L.P. | Private Equity Fund | Delaware | 5 | $46.3M | $150K |
| DEP BO, L.P. | Private Equity Fund | Delaware | 6 | $41.8M | $275K |
| DEP MT, L.P. | Private Equity Fund | Delaware | 5 | $39.9M | $250K |
| DEP DUR, L.P | Private Equity Fund | Delaware | 3 | $29.6M | $250K |
| DEP GEI, L.P. | Private Equity Fund | Cayman Islands | 7 | $28.9M | $300K |
| MIP PA (CAYMAN), L.P. | Private Equity Fund | Cayman Islands | 4 | $28.0M | $1.0M |
| DEP EYE, L.P. | Private Equity Fund | Delaware | 3 | $27.6M | $250K |
| DEP PET, L.P | Private Equity Fund | Delaware | 3 | $25.5M | $250K |