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First Boston Case In Massachusetts

Dec 12, 2002 | Bloomberg News

Frank P. Quattrone, technology banking chief of Credit Suisse First Boston, has been subpoenaed to testify next month in the Massachusetts conflict-of-interest case against the securities firm.

William Galvin, the secretary of the commonwealth, said he issued subpoenas to Mr. Quattrone and Elliott Rogers, the former head of technology research at Credit Suisse, to appear in Boston on Jan. 13.

The state has charged that Credit Suisse used stock recommendations to win investment banking business.

Mr. Galvin made his demand as state and federal regulators are negotiating a settlement with Credit Suisse and 11 other securities firms under investigation on suspicions of issuing biased stock reports. Regulators last month asked Credit Suisse to pay $250 million, an amount the company said was too high.

In October, Mr. Galvin filed an administrative complaint that said that Credit Suisse violated state securities laws because its investment banking division controlled the research department and did not act in the interest of investors.

Credit Suisse said that it did nothing wrong.

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