Our Staff has compiled our research into a database of FINRA Broker Disclosures for Credit Suisse Securities (USA) LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Ray Erwin Farris | 3216947 | 1 | 05/09/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chirac Ndetan | 7573935 | 1 | 12/23/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marissa N Hemby | 6699084 | 2 | 09/24/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Pinion | 7528565 | 1 | 06/29/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Nathaniel Moore | 6712374 | 3 | 03/04/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Nathaniel Moore | 6712374 | 3 | 03/04/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Nathaniel Moore | 6712374 | 3 | 03/02/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Brian Mazmanian | 5686359 | 1 | 11/01/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jay Kim | 2943078 | 1 | 01/29/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter James Sack | 4385706 | 1 | 01/29/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |