Search for: "CITIGROUP GLOBAL MARKETS INC"
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29 Dec 2017, 12:31 pm
Are you concerned about your investments with Citigroup Global Markets? [read post]
27 Dec 2017, 11:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer.http://www.rrbdlaw.com/3745/securities-industry-commentator/In today’s Securities Industry Commentator feed:FINRA Sanctions Citigroup Global Markets Inc. $11.5 Million for Displaying Inaccurate Research Ratings (FINRA Press Release) Th... [read post]
27 Dec 2017, 7:41 am
FINRA Sanctions Citigroup Global Markets Inc. $11.5 Million for Displaying Inaccurate Research Ratings (FINRA Press Release) http://www.finra.org/newsroom/2017/finra-sanctions-citigroup-global-markets-115-million-inaccurate-research-ratingsThe Financial Industry Regulatory Authority fined Citigroup Global Markets Inc. [read post]
16 Nov 2017, 12:47 pm
TRANSWORLD SYSTEMS INC. [read post]
16 Nov 2017, 12:47 pm
TRANSWORLD SYSTEMS INC. [read post]
1 Nov 2017, 11:28 am
Morgan Stanley, through its predecessor firm Citigroup Global Markets, Inc. [read post]
17 Sep 2017, 7:30 pm
Important factors that could cause or contribute to such differences include: investor response to the offerings of the asset-backed securities by each of NCSLT 2007-3 and NCSLT 2007-4, including the terms of the notes offered by each trust and the size and structure of the transactions; conditions in the financial markets, including the capital markets generally and the student loan asset-backed securities sector specifically; completion of the pricing of the asset-backed… [read post]
21 Aug 2017, 5:00 am
In In the Matter of Citigroup Global Markets, Inc., SEC Admin. [read post]
2 Aug 2017, 3:15 pm
Financial Industry Regulatory Authority’s claims that they failed to have adequate risk controls Deutsche Bank Securities Inc., Citigroup Global Markets Inc., J.P. [read post]
2 Aug 2017, 6:45 am
Financial Industry Regulatory Authority’s claims that they failed to have adequate risk controls Deutsche Bank Securities Inc., Citigroup Global Markets Inc., J.P. [read post]
19 May 2017, 8:32 am
Blair & Co., Inc.; Whale Securities Co., L.P.; Citicorp Investment Services; and Citigroup Global Markets Inc. [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]
13 Feb 2017, 6:20 am
From June 1994 through February 2007, Palmer was registered with Citigroup Global Markets Inc. [read post]
13 Feb 2017, 6:20 am
From June 1994 through February 2007, Palmer was registered with Citigroup Global Markets Inc. [read post]
31 Jan 2017, 9:30 pm
A year ago, Citigroup Global Markets, Inc., among other Citigroup subsidiaries, agreed to pay the U.S. [read post]
20 Jan 2017, 6:12 am
The US Commodity Futures Trading Commission (CFTC) [official website] on Thursday ordered [press release] Citigroup Global Markets Inc. [read post]
18 Jan 2017, 5:00 am
Citigroup Global Markets Inc., December 23, 2016).Arbitration. [read post]
9 Jan 2017, 8:33 am
Lindsay is an attorney who currently is the Managing Director and General Counsel of Capital Markets and Corporate Reporting at Citigroup Inc. [read post]
30 Dec 2016, 2:09 am
As demonstrated by a recent public customer arbitration against Citigroup Global Markets, Inc., one more trite expression also comes into play: He who hesitates is lost.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in May 2016, Claimants asserted common law fraud; breach of fiduciary duty; negligent failure to supervise; and negligence in connection with an alleged over-concentration of assets in… [read post]
9 Dec 2016, 7:25 am
From September 2005 through February 2011 Kievman was associated with Citigroup Global Markets Inc. [read post]
