Order No. 143-SL
Credit Suisse Securities (USA) LLC
Registered Principal
New York, NY 10010
ORDER SUMMARY:
1. Credit Suisse Securities (USA) LLC, in its capacity as a principal registered with the Pennsylvania Department of State (“Department of State”) under principal registration number “P31406,” failed to timely file a quarterly expense report with the Department of State for the third quarter of 2018 as required by Section 13A05 of Pennsylvania’s lobbying disclosure law (“Lobbying Disclosure Law”), 65 Pa.C.S. § 13A05.
2. The transgression of the Lobbying Disclosure Law outlined in paragraph 1 immediately above is deemed to be negligent in nature.
3. Pursuant to Section 13A09(c) of the Lobbying Disclosure Law, 65 Pa.C.S. § 13A09(c), and the Consent Agreement of the parties, this Commission hereby levies one administrative penalty against Credit Suisse Securities (USA) LLC in the total amount of $12,316.00, calculated as follows: $50.00 per day for the first ten days its third quarter 2018 expense report was delinquent, plus $100.00 per day for the next ten days its third quarter 2018 expense report was delinquent, plus $200 per day for the next seven days its third quarter 2018 expense report was delinquent, plus $88.00 per day for the remaining one hundred and seven days its third quarter 2018 expense report was delinquent (10 days x $50.00 + 10 days x $100.00 + 7 days x $200.00 + 107 days x $88.00 = $12,316.00).
4. To the extent it has not already done so, Credit Suisse Securities (USA) LLC is ordered to pay the aforesaid administrative penalty in the total amount of $12,316.00 to be made payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order.
5. Noncompliance with Paragraph 4 of this Order will result in the Commission initiating appropriate enforcement action(s).
Order No. 144-SL
Alliance of Automotive Service Providers - Pennsylvania
Registered Principal
Harrisburg, PA 17104
ORDER SUMMARY:
1. Alliance of Automotive Service Providers-Pennsylvania, in its capacity as a principal registered with the Pennsylvania Department of State (“Department of State”) under principal registration number “P02330,” failed to timely file a quarterly expense report with the Department of State for the fourth quarter of 2018 as required by Section 13A05 of Pennsylvania’s lobbying disclosure law (“Lobbying Disclosure Law”), 65 Pa.C.S. § 13A05.
2. The transgression of the Lobbying Disclosure Law outlined in paragraph 1 immediately above is deemed to be negligent in nature.
3. Pursuant to Section 13A09(c) of the Lobbying Disclosure Law, 65 Pa.C.S. § 13A09(c), and the Consent Agreement of the parties, this Commission hereby levies one administrative penalty against Alliance of Automotive Service Providers-Pennsylvania in the total amount of $13,048.00, calculated as follows: $50.00 per day for the first ten days its fourth quarter 2018 expense report was delinquent, plus $50.00 per day for the next ten days its fourth quarter 2018 expense report was delinquent, plus $200 per day for the next seven days its fourth quarter 2018 expense report was delinquent, plus $88.00 per day for the remaining one hundred and twenty-one days its fourth quarter 2018 expense report was delinquent (10 days x $50.00 + 10 days x $50.00 + 7 days x $200.00 + 121 days x $88.00 = $13,048.00).
4. To the extent it has not already done so, Alliance of Automotive Service Providers-Pennsylvania is ordered to pay the aforesaid administrative penalty in the total amount of $13,048.00 to be made payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission within twelve months of the mailing date of this Order.
5. Noncompliance with Paragraph 4 of this Order will result in the Commission initiating appropriate enforcement action(s).
You may access the full text version of the above rulings by clicking on these links or by copying and pasting them into your browser:
143-SL
144-SL