ADR 971
Credit Suisse Securities (USA) LLC Political Action CommitteeSummary
REFERRING OFFICE: FEC Reports Analysis Division
RESPONDENT: Credit Suisse Securities (USA) LLC PAC
ELECTION CYCLE: 2020
OPENING DATE: 08/12/2020
CLOSING DATE: 04/15/2021
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 | 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) |
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 |
| 08/27/2020 | Notification to Credit Suisse Securities (USA) LLC PAC and Cecilia Guarin, Treasurer 654 KB | |
| 08/19/2020 | Informational Memo on Assignment 627 KB | |
| 08/12/2020 | Reports Analysis Division Referral to Alternative Dispute Resolution Office 1 MB | |
| 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. |