Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Credit Suisse Securities (USA) LLC. If you suffered losses investing with Credit Suisse Securities (USA) LLC, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Credit Suisse Securities (USA) LLC (CRD# 816) (SEC# 801-56264, 8-422)
As of April 4, 2020, Credit Suisse Securities (USA) LLC’s FINRA BrokerCheck Report contains the following:
290 Regulatory Event Disclosures
10 Civil Event Disclosures
9 Arbitration Disclosures
Main Office Location
11 MADISON AVENUE
11TH FLOOR
NEW YORK, NY 10010
UNITED STATES
Mailing Address
11 MADISON AVENUE
11TH FLOOR
NEW YORK, NY 10010
UNITED STATES
Business Telephone Number
212-325-2000
Direct Owners and Executive Officers
CREDIT SUISSE (USA), INC., SOLE MEMBER
CHIN, BRIAN MATTHEW (CRD#:4679495), BOARD MEMBER
CURRAN, RICHARD JOHN SR. (CRD#:4136136), HEAD OF OPERATIONS
DELL’ARENA, ANTHONY JOSEPH (CRD#:2691702), CHIEF COMPLIANCE OFFICER (CCO) FOR INVESTMENT ADVISER
DOMINICK, PAULA ANN (CRD#:1222643), CHIEF COMPLIANCE OFFICER FOR THE BROKER DEALER
GALIETTO, PAUL REID (CRD#:1400597), HEAD OF EQUITIES – TEXAS DESIGNATED OFFICER
KEARSLEY, GUY CHARLES (CRD#:5640706), CHIEF RISK OFFICER
LALIME, CRYSTAL MARIE (CRD#:5027893), GENERAL COUNSEL
LEAMON, JERRY PRESTON (CRD#:6615160), BOARD MEMBER
LUPETIN, SERGIO JOSEPH (CRD#:1221963), CHIEF FINANCIAL OFFICER
MILLER, DAVID LAWRENCE (CRD#:2973313), BOARD MEMBER
OECHSLIN, JOACHIM CHRISTIAN (CRD#:6653852), BOARD MEMBER
RICHARDS, BRUCE TILTON (CRD#:4640086), BOARD MEMBER
VARVEL, ERIC MORRIS (CRD#:1850251), BOARD MEMBER AND CHIEF EXECUTIVE OFFICER
WYNPERLE, MARY (CRD#:5892462), SECRETARY
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Credit Suisse Securities (USA) LLC and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
