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Federal Election Commission | United States of America

ADR 966

Credit Suisse Securities (USA) LLC Political Action Committee

Summary

REFERRING OFFICE: FEC Office of General Counsel

RESPONDENT: Credit Suisse Securities (USA) LLC PAC

OPENING DATE: 06/03/2020

CLOSING DATE: 04/19/2021

DISPOSITION: The Commission decided by a vote of 6-0 to take the following actions in ADRs 966 (Pre-MUR 632) and 971 (RAD 20L-14): 1. Approve the negotiated settlement of Credit Suisse Securities (USA) LLC PAC and Cecilia Guarin, Treasurer, as recommended in the Memorandum from the Chief Compliance Officer and the Director, ADR Office dated October 20, 2020. 2. Approve the appropriate letters. 3. Close the file on these matters.

Disposition

Disposition Penalty Respondent Citation
Settlement Agreement $1,625.00 Guarin, Cecilia 52 U.S.C. §30104(b)(2), (4), and (8)
11 CFR 104.3(a), (b), and (d)
Credit Suisse Securities (USA) LLC PAC 52 U.S.C. §30104(b)(2), (4), and (8)
11 CFR 104.3(a), (b), and (d)
Attend FEC seminar Non-monetary term Credit Suisse Securities (USA) LLC PAC
Guarin, Cecilia

Documents

Date Type Title
04/19/2021 ADR Settlement Agreements Credit Suisse Securities (USA) LLC PAC and Cecilia Guarin, Treasurer 1 MB
10/20/2020 ADR Memoranda, Notifications and Responses Recommendation to Approve Negotiated Settlement 643 KB
08/31/2020 Transferred Case 786 KB
08/07/2020 Commitment to Submit Matter to ADR Program and Statement of Designation of Representative/Counsel 715 KB
07/27/2020 Notification to Credit Suisse Securities (USA) LLC PAC and Cecilia Guarin, Treasurer 656 KB
07/17/2020 Informational Memo on Assignment 612 KB
04/15/2021 Certifications Credit Suisse Securities (USA) LLC PAC and Cecilia Guarin, Treasurer (Pre-MUR 632) (RAD 20L-14) (C00111559) (Recommendation to Approve Negotiated Settlement 581 KB

Participants

Relationship Name
Respondent Credit Suisse Securities (USA) LLC PAC
Treasurer Guarin, Cecilia
Representative Laham, Carol A.
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