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: SECLaw.com

FINRA Fines Credit Suisse For Settlement Violations

By Mark H. Astarita, Esq.

What happens when a major brokerage firm violates its settlement agreement with FINRA? Well, it pays another fine. No one is barred or suspended, the firm pays some more money to FINRA, and everyone is happy.Readers will recall the historic settlement reached in April 2003 with 10 major investment firms and every securities regulator over the research issue. The fines were huge - $1.4 billion combined. There were also other provisions, including a provision to make research available to their investors.Well, it seems that Credit Suisse may not have lived up to that part of the deal. FINRA announced today that it had fined Credit Suisse $275,000 for failing to fully comply with the part of the settlement that required it to make independent research available to their customers...continue to full post

Full post as published by SECLaw.com on August 10, 2009 (boomark / email).

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