Search for: "CITIGROUP GLOBAL MARKETS, INC., a New York corporation"
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7 Aug 2007, 11:03 am
JUNE 6, 2007: NASD FINED CITIGROUP $3 MILLION FOR FAILURE TO SUPERVISE On June 6, 2007, the NASD fined Citigroup Global Markets, Inc., $3 million for its failure to adequately supervise a team of brokers based in Charlotte, NC, who used misleading sales materials during dozens of seminars and meetings for hundreds of employees of BellSouth Corporation. [read post]
31 Mar 2012, 8:17 pm
Patricia Collantes was fined $8,000 and suspended from association with any FINRA member in any principal capacity in relation to findings that while acting as Operating Manager at Citigroup Global Markets Inc. in Palo Alto, California, Ms. [read post]
21 Jan 2022, 2:17 pm
In this matter, initiated by a whistleblower under New Mexico’s Fraud Against Taxpayer’s Act, New Mexico secured a settlement with Barclays Capital Inc., Citigroup Global Markets Inc., Goldman Sachs & Co. [read post]
21 Jan 2022, 2:17 pm
In this matter, initiated by a whistleblower under New Mexico’s Fraud Against Taxpayer’s Act, New Mexico secured a settlement with Barclays Capital Inc., Citigroup Global Markets Inc., Goldman Sachs & Co. [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]
11 Feb 2021, 8:10 am
Among the institutions on the pilot list are major banks like Capital One Financial Corp., Citigroup Inc., Goldman Sachs Group Inc., JPMorgan Chase & Co., and Wells Fargo Co. [read post]
17 Dec 2009, 6:33 am
The February 2009 Delaware Court of Chancery decision in In Re Citigroup Inc. [read post]
28 Apr 2008, 11:00 am
: Art, access and the public domain after Bridgeman v Corel’ – 29 April, New York City: (creativecommons.org), (Public Knowledge) US: ACI ‘Paragraph IV disputes’ conference – 30 April – 1 May, New York City: (Orange Book Blog) Pharma & Biotech Pharma & Biotech - General Canada: Patented Medicine Prices Review Board (PMPRB) departs from its guidelines in determining price in… [read post]
24 Apr 2008, 3:13 pm
” The banks’ mandamus petition and request for emergency stay also remain pending as In re Citigroup Global Markets, Inc., No. 08-0289 in the Texas Supreme Court. [read post]
24 Jan 2014, 12:57 am
The Delaware Supreme Court[1] and federal courts in Florida,[2] New York,[3] Illinois[4] and Georgia[5] have made the BJR available to officers. [read post]
8 Jan 2010, 7:46 am
Started as Countrywide Credit Industries in New York 38 years ago by Angelo R. [read post]
26 Feb 2007, 3:36 pm
GS Capital Partners, Lehman Brothers, Citigroup and Morgan Stanley intend to be equity investors at closing. [read post]
5 Nov 2007, 1:48 pm
But before turning to law firm land, one additional reality of Wall Street, which you may view as charming or perverse or merely reality, as you will, is this: "Roy Smith, a professor of finance at New York University and former partner at Goldman Sachs Group Inc., said Wall Street chiefs, obsessed by their stock price, are quick to let go anyone whose unit has a bad quarter. [read post]
24 Jan 2014, 12:57 am
The Delaware Supreme Court[1] and federal courts in Florida,[2] New York,[3] Illinois[4] and Georgia[5] have made the BJR available to officers. [read post]
30 Dec 2011, 7:27 am
As discussed here, on May 11, 2011, a federal Jury in New York convicted Mr. [read post]
5 Apr 2009, 1:26 pm
Attorney’s office in the Eastern District of New York announced the criminal indictment of the two former portfolio managers.[14] In September 2008, the SEC filed civil charges against two brokers in connection with purchases for customers of more than $1 billion in auction rate securities. [read post]
25 May 2015, 4:43 pm
The defendants in the lawsuit included Household International and its mortgage finance subsidiary, Household Financial Corporation, and Household’s former CEO and CFO, as well as certain other former officers and directors. [read post]
