Search for: "CITIGROUP GLOBAL MARKETS INC"
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6 Dec 2011, 9:07 am
., office of Citigroup Global Markets Inc., has been fined and suspended by the Financial Industry Regulatory Authority, or FINRA, for her failure to supervise a sales assistant who misappropriated almost $750,000 from customers. [read post]
17 Apr 2009, 6:36 pm
The US District Court for the Western District of Texas should confirm an arbitration award for brokerage firm Citigroup Global Markets Holding Inc. against a former employee who failed to pay his promissory noteâ€â [read post]
9 Aug 2011, 2:35 pm
The FINRA fined Citigroup Global Markets, Inc. $500,000 for failing to supervise Tamara Moon, a former registered sales assistant at the firm's branch office in Palo Alto, California. [read post]
22 May 2012, 3:57 pm
FINRA announced today that it fined Citigroup Global Markets, Inc. $3.5 million for providing inaccurate mortgage performance information, supervisory failures and other violations in connection with subprime residential mortgage-backed securitizations (RMBS). [read post]
6 Apr 2010, 12:56 pm
In its first enforcement action involving a broker-dealer stock borrow program, the Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, Inc. $650,000 for disclosure and supervisory violations relating to the operation of its Direct... [read post]
18 Aug 2015, 11:29 am
The Securities and Exchange Commission (SEC) announced this week that two Citigroup Affiliates, Citigroup Global Markets Inc. [read post]
16 May 2007, 4:35 am
Last week, Citigroup Global Markets Inc. said it would pay a $200,000 fine to settle charges by the Securities and Exchange Commission. [read post]
4 May 2012, 6:02 pm
The Financial Industry Regulatory Authority (FINRA) recently announced that it has 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]
11 Nov 2010, 5:27 pm
A federal bankruptcy judge has approved a settlement involving Citigroup Global Markets Inc. agreeing to repay $95.5 million to clients who sustained auction-rate securities related-losses. [read post]
2 Jun 2014, 3:44 am
Rakoff, J.) refusing to approve a settlement between SEC and Citigroup Global Markets Inc. [read post]
20 Oct 2011, 8:23 am
On Wednesday, October 19, 2011, the SEC announced a settlement with Citigroup's principal U.S. broker-dealer, Citigroup Global Markets, Inc., who had been charged with misleading investors about a $1 billion collateralized debt obligation ("CDO") tied to the housing market. [read post]
30 Mar 2012, 10:58 am
Citigroup Global Markets, Inc., 2012 WL 851807 (2d Cir. [read post]
28 Mar 2012, 3:00 am
Citigroup Global Markets Inc., Dkt No. 11-5227-cv-(Lead) (2d Cir. 2012), presents issues related to international practice only indirectly. [read post]
14 Aug 2009, 8:34 am
The Bankruptcy Estate of Terra Securities ASA and seven Norwegian municipalities have filed a securities fraud action against Citigroup Global Markets, Inc. and related entities, as reported in the Wall Street Journal and news wires. [read post]
22 Apr 2009, 6:14 am
Braintree's suit was filed against Citigroup Global Markets, Inc. and Citi Smith Barney in the U. [read post]
26 Apr 2009, 4:36 pm
Wachovia Capital Markets LLC and Citigroup Global Markets Inc. will settle allegations by the Michigan Office of Financial and Insurance Regulation that the firms misled investors who bought auction rate securities by paying a combined $880.3 millionâ€â [read post]
19 Jan 2012, 10:21 pm
FINRA says that Citigroup Global Markets will pay a fine of $725K for not disclosing specific conflicts of interest during public appearances made by research analysts and in research reports. [read post]
2 May 2012, 6:14 am
The Financial Industry Regulatory Authority ("FINRA") has fined Citigroup Global Markets, Inc. [read post]
22 May 2008, 12:45 pm
In re Citigroup Global Markets, No. 06-0886 (per curiam) (orig. proceeding) Decided: May 16, 2008 The court of appeals held that Citigroup’s (successful) attempt to remove a case to federal court, its (successful) attempt to get an MDL transfer of that case, and then its (successful) request that the MDL court remand the case back to state court was enough to waive an arbitration clause. [read post]
4 Feb 2013, 7:29 am
On January 24, Impac Funding Corp. settled a lawsuit brought by Citigroup Global Markets Inc. alleging violations of Sections 18 and 20 of the Securities Exchange Act and negligent misrepresentation based on alleged misstatements in the Pooling and Servicing Agreement for an RMBS trust. [read post]
