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Recent Posts in Credit Suisse Category

Credit Suisse CEO Warned Unsophisticated Investors Not to Invest in XIV as Lawsuit Alleges Fraud

A New York lawsuit filed against Credit Suisse Group AG alleges that the firm failed to disclose that it was manipulating its VelocityShares Daily Inverse VIX Short-Term exchange-traded notes (ticker ...
Continue reading "Credit Suisse CEO Warned Unsophisticated Investors Not to Invest in XIV as Lawsuit Alleges Fraud" »

SEC Warned of Volatility-Linked Exchange-Traded Notes' Complexity Before XIV Crash

Over two years before Credit Suisse's VelocityShares Daily Inverse VIX Short-Term Exchange-Traded Note (NASDAQ:XIV) lost 95% of its value this February, the Securities & Exchange Commission ...
Continue reading "SEC Warned of Volatility-Linked Exchange-Traded Notes' Complexity Before XIV Crash" »

'Volatility Virus' XIV Devastated Wall Street and Ravaged Private Investors as Uninformed Brokers Took on Too Much Risk

Bemoaning the "volatility virus" known as XIV—or Credit Suisse's VelocityShares Daily Inverse VIX Short-Term Exchange-Traded Note—the Financial Times shed the spotlight on an ...
Continue reading "'Volatility Virus' XIV Devastated Wall Street and Ravaged Private Investors as Uninformed Brokers Took on Too Much Risk" »

Credit Suisse Execs Had Secretaries Complete Training for Them, Records Show

The latest wrinkle in the VelocityShares Daily Inverse VIX Short-Term exchange traded note's fall from grace concerns its issuer, Credit Suisse, and regulatory filings that several firm executives ...
Continue reading "Credit Suisse Execs Had Secretaries Complete Training for Them, Records Show" »

Suitability and Firms' Duty to Disclose Comes into Focus as VelocityShares Daily Inverse VIX Exchange Traded Notes (XIV) Falls

After losing 95% of its value in early February, issuer Credit Suisse announced plans to liquidate VelocityShares Daily Inverse VIX Short-Term Exchange-Traded Note (NASDAQ:XIV), capping off a rough ...
Continue reading "Suitability and Firms' Duty to Disclose Comes into Focus as VelocityShares Daily Inverse VIX Exchange Traded Notes (XIV) Falls" »

FINRA Warned of Volatility-Linked ETNs Before February Stock Market Plunge

A CNBC report traced the source Wall Street's recent rout—including a single-day Dow Jones loss of over 1,000 points—in part, to volatility-linked exchange-traded notes (ETNs) that ...
Continue reading "FINRA Warned of Volatility-Linked ETNs Before February Stock Market Plunge" »

NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats

The North American Securities Administrations Association (NASAA) announced the top threats to investors, identifying the most frequent sources of current investor complaints or industry ...
Continue reading "NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats" »

Kai Chen Fined & Suspended for Unauthorized Use of Discretion at Credit Suisse

FINRA fined and suspended former Credit Suisse Securities and S F Sentry Securities (both of San Francisco, CA) broker Kai Nmn Chen aka Szu-Kai or Szukai Chen for improperly exercising discretion in ...
Continue reading "Kai Chen Fined & Suspended for Unauthorized Use of Discretion at Credit Suisse" »

Credit Suisse Securities Fined $16.5 Million for Significant Supervisory Deficiencies in Detecting Suspicious Microcap Trades

FINRA fined Credit Suisse Securities (USA) LLC $16.5 million for anti-money laundering (AML), supervision, and other violations related to the firm's suspicious activity monitoring program ...
Continue reading "Credit Suisse Securities Fined $16.5 Million for Significant Supervisory Deficiencies in Detecting Suspicious Microcap Trades" »

Sales Practices Related to Credit Suisse, Velocity Shares, JPMorgan Notes, and Other Structured Products Remain Area of Concern

As sales of high yield and highly speculative products continue to increase, it is important for brokers to remember FINRA's rules for proper sales practices concerning suitability, factual ...
Continue reading "Sales Practices Related to Credit Suisse, Velocity Shares, JPMorgan Notes, and Other Structured Products Remain Area of Concern" »
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