Search for: "CITIGROUP GLOBAL MARKETS INC"
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4 Jun 2015, 11:30 am
Previously, she was Managing Director and Head of Environmental Banking Strategy for Citigroup Global Markets, and served on the National Security Council at The White House as Director of European Economic Affairs and European Union Relations, as well as various senior advisory roles within the U.S. [read post]
4 Jun 2015, 11:30 am
Previously, she was Managing Director and Head of Environmental Banking Strategy for Citigroup Global Markets, and served on the National Security Council at The White House as Director of European Economic Affairs and European Union Relations, as well as various senior advisory roles within the U.S. [read post]
25 May 2015, 4:43 pm
Fischel presented two economic models at trial, the “specific disclosure” model (designed to separate effects on a company’s share price due to misrepresentations from movements in the company’s share price caused by other market factors) and the “leakage” model, which assumes that the truth may “leak” into the marketplace as a result of more gradual exposure of the fraud. [read post]
12 May 2015, 3:30 pm
The following is a list of some of the UBS Reverse Convertible Notes offered: CUSIP Issuer Product Name 90271N227 UBS Trigger Phoenix Autocallable Optimization Securities linked to Rackspace Hosting, Inc. 90271N219 UBS Trigger Phoenix Autocallable Optimization Securities linked to Cemex SAB (ADR) 90271N193 UBS Trigger Phoenix Autocallable Optimization Securities linked to Apple, Inc. 90271C825 UBS Trigger Phoenix Autocallable Optimization Securities linked to Broadcom Corp.… [read post]
12 May 2015, 3:26 pm
The issuer is not required to maintain a secondary market, and, like most structured products, there may be no buyer if the investor needed to liquidate the RCN prior to maturity. [read post]
12 May 2015, 2:43 pm
The issuer is not required to maintain a secondary market, and, like most structured products, there may be no buyer if the investor needed to liquidate the RCN prior to maturity. [read post]
1 May 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has accused David Lee Shafranek, a former broker with Citigroup Global Markets, of outside business activity. [read post]
20 Mar 2015, 1:39 pm
Bank’s attempt to refile an amended complaint against Citigroup Global Markets Realty Corp. and CitiMortgage, Inc. [read post]
13 Mar 2015, 12:04 pm
Inc. v. [read post]
13 Mar 2015, 12:04 pm
Inc. v. [read post]
6 Mar 2015, 2:57 pm
The Financial Industry Regulatory Authority’s (“FINRA”) February 2015 disciplinary actions release reported that on December 9, 2014, Citigroup Global Markets, Inc. [read post]
5 Mar 2015, 5:52 am
Mylan Pharmaceutical, Inc., ___ F. [read post]
16 Jan 2015, 6:16 am
– $5 million Citigroup Global Markets Inc. [read post]
11 Dec 2014, 4:35 am
See this recent case for discussion of some of these issues.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in July 2011 public customer Claimants Jiovino and Route 36 East LLC alleged causes of action against Citigroup Global Markets, Inc. [read post]
4 Dec 2014, 10:09 am
Citigroup Global Markets Inc., 827 F. [read post]
25 Nov 2014, 6:45 am
FINRA fined Citigroup Global Markets, finding that from January 2005 to February 2014, Citigroup failed to meet its supervisory obligations regarding the potential selective dissemination of non-public research to clients and sales and trading staff.According to the press release during this period, Citigroup issued approximately 100 internal warnings concerning communications by equity research analysts. [read post]
21 Nov 2014, 7:01 am
Bank’s repurchase claims against Citigroup Global Markets Realty Corp. [read post]
3 Oct 2014, 10:50 am
See In re Citigroup Global Markets, Inc., 258 S.W.3d at 626-27. [read post]
22 Sep 2014, 10:37 am
Supp. 2d 435 (S.D.N.Y. 2013); Citigroup Global Mkts. [read post]
4 Sep 2014, 10:46 am
Citigroup Global Mkts., Inc. v. [read post]
