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25 Nov 2014, 6:45 am by Mark Astarita
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]
15 May 2018, 11:45 am by Renae Lloyd
FINRA Sanctions Citigroup for Supervisory Issues According to FINRA on February 9, an AWC was issued in which Citigroup Global Markets Inc. [read post]
17 Nov 2008, 9:31 pm
Citigroup Global Markets is Citigroup Inc's brokerage and securities arm. [read post]
26 Jan 2012, 6:00 am by SECLaw Staff
FINRA has fined Citigroup Global Markets, Inc. $725,000 for failing to disclose certain conflicts of interest in its research reports (published from January 2007 through March 2010) and research analysts' public appearances. [read post]
29 Aug 2023, 1:10 pm by Mark Astarita
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc. [read post]
3 Jan 2018, 10:10 am by Andrew Stoltmann
On Thursday, FINRA stated that Citigroup Global Markets Inc. showed incorrect ratings such as “buy” instead of “sell” to brokers, customers and supervisors on 38% of the equities covered by its research department from February 2011 until December 2015. [read post]
18 Jan 2012, 2:05 pm by Securites Lawprof
FINRA fined Citigroup Global Markets, Inc. $725,000 for failing to disclose certain conflicts of interest in its research reports and research analysts' public appearances. [read post]
21 Oct 2011, 7:44 am by SECLaw Staff
The SEC has charged Citigroup Global Markets Inc. with misleading investors about a $1 billion CDO called Class V Funding III. [read post]
1 Jun 2010, 5:02 am by Jay Eng
On May 26, 2010, FINRA announced “that it has imposed a monetary sanction of $1.5 million against Citigroup Global Markets Inc. for supervisory violations relating to its handling of trust funds belonging to cemeteries in Michigan and Tennessee. [read post]
12 Oct 2009, 1:32 pm
FINRA announced that it has fined Citigroup Global Markets Inc. $600,000 and censured the firm for failing to supervise complex trading strategies designed in part to minimize potential tax liabilities. [read post]
20 Jan 2017, 6:12 am by Miracle Jones
The US Commodity Futures Trading Commission (CFTC) [official website] on Thursday ordered [press release] Citigroup Global Markets Inc. [read post]
26 May 2010, 1:14 pm by Securites Lawprof
FINRA imposed a monetary sanction of $1.5 million against Citigroup Global Markets Inc. for supervisory violations relating to its handling of trust funds belonging to cemeteries in Michigan and Tennessee. [read post]
10 Aug 2011, 6:19 pm
(Smith Barney is a division of Citigroup Global Markets, Inc. and is now doing business as part of Morgan Stanley Smith Barney, LLC.) [read post]