FINRA Alert! Without admitting or denying findings, between January 2010 and June 2021 Credit Suisse misreported the covered quantity of over 10,000 Over-The-Counter (OTC) short positions to the LOPR in violation of FINRA Rules 2360(b)(5) and 2010.

Penalty for 11 years misreporting? A $375,000 fine.

Source: Credit Suisse Securities (USA) LLC CRD 816 AWC lp (2022-1670717997233).pdf

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