Search for: "CITIGROUP GLOBAL MARKETS INC"
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26 Nov 2019, 7:02 am
According to FINRA Disciplinary actions for October 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Acca, Lisa Arive Capital Markets Global Arena Capital Partners Bailey, Michael PFS Investments Primerica Financial Services … [read post]
26 Nov 2019, 6:50 am
According to FINRA Disciplinary actions for October 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bender, Charles Suntrust Investment Services, Inc JP Morgan Securities Bingham, Daniel Essex Securities Investors Capital Corp Devaney,… [read post]
1 Nov 2019, 5:49 am
Cohen Has Worked with Citigroup Global Markets in New York State Since February of 2019; Cohen Has 36 Years in the Securities Industry with 11 Firms David N. [read post]
1 Nov 2019, 5:49 am
Cohen Has Worked with Citigroup Global Markets in New York State Since February of 2019; Cohen Has 36 Years in the Securities Industry with 11 Firms David N. [read post]
22 Oct 2019, 12:22 pm
Ameriprise Financial Services NBC Securities Jeffrey Lundstrom Signator Investors, Inc Transamerica Financial Advisors Uriah Mitchell JP Morgan Securities Raymond Montchal Morgan Stanley Citigroup Global Markets Robert Neuedorf David Lerner Associates Merrill Lynch, Pierce, Fenner & Smith Silver Law Group represents investors in securities and investment fraud cases… [read post]
22 Oct 2019, 11:44 am
According to FINRA Disciplinary actions for August 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Patrick Auckland TIAA-VREF Individual & Institutional Services Morgan Stanley Matthew DiNinno Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Nicholas Diesso Ameriprise Financial Services … [read post]
1 Jul 2019, 12:43 pm
Citigroup Global Markets Inc Merrill Lynch, Pierce, Fenner & Smith Inc Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
16 May 2019, 7:37 am
The post Health Insurance Innovations, Inc. [read post]
29 Apr 2019, 12:55 pm
The defendants are Bank of America NA, Barclays Capital, Wells Fargo Securities, LLC, Citigroup Global Markets, Inc., BNP Paribas Securities Corp., Deutsche Bank Securities, JPMorgan Securities, HSBS Bank Plc, HSBC Securities, JP Morgan Chase Bank, TD Securities, Nomura Securities International Inc., and Merrill Lynch, Pierce, Fenner & Smith. [read post]
4 Feb 2019, 6:28 am
Mattress Firm Inc. [read post]
30 Jan 2019, 1:06 pm
Pro-Integrity Securities Evans, Makisha Feitelnerg, Brendan United Planners Financial Services LPL Financial LLC Jimenez, Mario Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Justafort, Frantz JP Morgan Securities LLC Chase Investment Services Maddox, Nicholas TCFG Wealth Management LLC US Bancorp Investments Gustavo Madrigal-Flores JP Morgan Securities … [read post]
25 Jan 2019, 12:51 pm
His previous employers include Citigroup Global Markets Inc. [read post]
22 Jan 2019, 8:00 am
His previous employers include Citigroup Global Markets Inc. [read post]
7 Dec 2018, 6:08 am
Bruce Plyer has 6 disclosures on FINRA BrokerCheck Report, and has worked for 29 years in the securities industry at 4 different firms, including the following: • International Assets Advisory, LLC in Morristown, NJ — December 22, 2016 to February 28, 2017 • Morgan Stanley, Florham Park, NJ — June 1, 2009 to December 23, 2016 • Citigroup Global Markets Inc. [read post]
3 Dec 2018, 11:27 am
A preliminary $182M settlement has been reached in a benchmark rigging lawsuit between investors and banks Citigroup Inc. [read post]
14 Nov 2018, 2:54 pm
His BrokerCheck record notes that he was previously a broker for Banc of America Investment Services, Inc. and Citigroup Global Markets (C). [read post]
9 Nov 2018, 6:39 am
Bindelglass also worked for Citigroup Global Markets, Inc. in Paramus, NJ from June 10, 2005 until June 1, 2009, FINRA notes. [read post]
25 Oct 2018, 6:43 am
From March 1993 to June 2009, Garapedian was registered with Citigroup Global Markets Inc. [read post]
19 Oct 2018, 2:25 pm
Within her 28 years in the securities industry, Dawn Bennett was registered with Wheat, First Securities, Inc. (03/1987-08/1996), Legg Mason Wood Walker, Inc. (08/1996-02/2006), CitiGroup Global Markets Inc. (02/2006), Royal Alliance Associates, Inc. (02/2006-10/2009), and Western International Securities, Inc. (10/2009-12/2015). [read post]
28 Sep 2018, 3:00 am
Citigroup Must Pay Over $12M Over Dark Pool Allegations To settle Securities and Exchange Commission that it misled users of a dark pool run by an affiliate , Citigroup Global Markets Inc. [read post]
