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17 Mar 2009, 6:00 pm
District Court for the Southern District of Texas vacated the award, (Citigroup Global Markets, Inc. [read post]
2 May 2024, 12:35 pm
He was affiliated with firms like RBC Capital Markets, UBS Financial Services Inc., and Citigroup Global Markets Inc. [read post]
7 Jun 2007, 11:43 am
, lmelton@dhayeslaw.com THE HAYES LAW FIRM, www.dhayeslaw.com On June 6, 2007, the NASD fined Citigroup Global Markets, Inc., $3 million to settle charges relating to the use of misleading materials in retirement seminars and meetings for BellSouth employees in North and South Carolina. [read post]
28 Nov 2006, 4:48 am
[6] Chinese Banking: the New Global Finance, available at [www.networkideas.org] [read post]
9 Jun 2009, 8:15 am
The existence of complex interactions among participants and products in the global financial markets has become more apparent. [read post]
1 Nov 2017, 11:28 am
Morgan Stanley, through its predecessor firm Citigroup Global Markets, Inc. [read post]
6 Apr 2016, 10:23 am
., Citigroup Global Markets Inc., and Morgan Keegan & Co. before he was let go from Raymond James in June of 2014.If Foerster is subject to the maximum penalty for his wire fraud, he could face 20 years behind bars and a $250,000 fine. [read post]
3 Aug 2016, 2:30 pm
Margiotta was employed by UBS Financial Services Inc. from October 2008 to June 2015, and with Citigroup Global Markets Inc. from December 2003 to November 2008, as well as other prior firms. [read post]
1 Jul 2019, 12:43 pm
Citigroup Global Markets Inc Merrill Lynch, Pierce, Fenner & Smith Inc Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
13 Sep 2007, 6:19 am
Citigroup Global Markets, Inc., 487 F.Supp.2d 1009, 1012 (S.D. [read post]
23 Feb 2012, 10:53 am
., Wells Fargo & Company, Citigroup Inc. and Ally Financial Inc. was reached by the federal government and 49 state attorneys general to address mortgage loan servicing and foreclosure abuses. [read post]
11 May 2012, 6:27 pm
Inc. v. [read post]
19 May 2017, 8:27 am
Bennett worked with five firms between 1987 and 2015: Wheat First Securities, Inc., in Charlotte, North Carolina; Legg Mason Wood Walker, Incorporated, in Baltimore, Maryland; Citigroup Global Markets Inc. in New York, New York; Royal Alliance Associates, Inc., in Washington, D.C.,; and Western International Securities, Inc., in Washington, D.C. [read post]
4 Dec 2014, 10:09 am
Citigroup Global Markets Inc., 827 F. [read post]
Recent Fourth Circuit opinion on FLSA "opt-in" classes: Long John Silver's Restaurants, Inc. v. Cole
5 Mar 2008, 6:00 am
Citigroup Global Markets, Inc., 2006 WL 449132 (N.D. [read post]
19 Mar 2012, 5:58 pm
Citigroup Global Markets, Inc., No. 11-5227-cv, slip op. 11-12 (2d Cir. [read post]
24 Jun 2016, 1:55 pm
DiVenuto was employed by Citigroup Global Markets, Inc. from 1994 to 2009, according to BrokerCheck. [read post]
28 Aug 2018, 11:20 am
M & T Securities, Inc Vincent Canzoneri Sigma Financial Corporation Ameriprise Financial Services, Inc Barry Connell Morgan Stanley UBS Financial Services Inc Charles Cox Wells Fargo Advisors, LLC Chase investment Services Corp Shane Dawkins Westpark Capital Joseph Stone Capital LLC Mark Flanagan Citigroup Global Markets Inc… [read post]
28 Nov 2011, 1:35 pm
Citigroup Global Markets, Inc., SD NY, 11 Civ. 7387, Nov. 28, 2011.An application of judicial power that does not rest on facts is inherently dangerous, emphasized the court, adding that the injunctive power of the judiciary is not a free roving remedy to be invoked at the whim of a regulatory agency, even with the consent of the regulated. [read post]
7 Jul 2023, 12:53 pm
” Previously, Caldwell was registered as a General Securities Representative with Citigroup Global Markets Inc. from July 3, 2012, to November 12, 2021, when she voluntarily resigned from the firm. [read post]
