Search for: "CITIGROUP GLOBAL MARKETS INC"
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9 Oct 2007, 3:32 pm
Citigroup Global Markets received the heaviest fine of $2.25 million for failing to deliver trade confirmation documents in more than a million consumer transactions. [read post]
22 Jan 2019, 8:00 am
His previous employers include Citigroup Global Markets Inc. [read post]
14 Jul 2014, 5:33 am
According to DOJ’s press release: The Justice Department, along with federal and state partners, today announced a $7 billion settlement with Citigroup Inc. to resolve federal and state civil claims related to Citigroup’s conduct in the packaging, securitization, marketing, sale and issuance of residential mortgage-backed securities (RMBS) prior to Jan. 1, 2009. [read post]
13 Jan 2020, 1:45 pm
Morgan Securities LLC, Morgan Stanley Smith Barney LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Citigroup Global Markets Inc., for failing to ensure asset transfers on legally mandated dates for at least 80,585 accounts. 53,384 of the accounts came from Morgan Stanley and 15,366 accounts came from Merrill Lynch; while, 5,666 accounts were at J.P. [read post]
20 Oct 2011, 10:11 pm
Citigroup to Pay $285 Million to Settle SEC Claims on Mortgage-Linked CDO, Bloomberg, October 19, 2011 Citigroup to Pay Millions to Close Fraud Complaint, NY Times, October 19, 2011 Related Blog Resources: Goldman Sachs Settles SEC Subprime Mortgage-CDO Related Charges for $550 Million, Stockbroker Fraud Blog, July 30, 2010 JPMorgan Chase to Pay $211M to Settle Charges It Rigged Municipal Bond Transaction Bidding Competitions, Stockbroker Fraud Blog, July 9, 2011 … [read post]
18 Jan 2010, 1:02 pm
Two months ago we reported that Citigroup Global Markets, Inc. had asked a New York court to dismiss a $72 million lawsuit filed against it by KV Pharmaceutical Co. [read post]
21 Jan 2012, 11:54 am
Citigroup Global Markets sold them through MAT Finance LLC. [read post]
9 Nov 2023, 6:29 am
(CRD# 8174) of Paramus, NJ, Morgan Stanley Smith Barney (CRD# 149777) and Citigroup Global Markets Inc. [read post]
28 Nov 2011, 11:55 pm
Rakoff rejected what would have been the sixth civil settlement agreement between Citigroup Global Markets Inc. [read post]
24 Jul 2007, 11:37 am
(NYSE News Release: NYSE Regulation Fines Citigroup Global Markets for Improper Market Timing of Mutual Funds by Brokers, July 24, 2007). [read post]
12 Apr 2011, 11:58 am
Sophisticated investors won a $54 million arbitration award against Citigroup Global Markets Inc. related to the MAT leveraged municipal arbitrage hedge fund. [read post]
12 Apr 2011, 11:58 am
Sophisticated investors won a $54 million arbitration award against Citigroup Global Markets Inc. related to the MAT leveraged municipal arbitrage hedge fund. [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]
11 Jun 2021, 5:47 am
FINRA Censures and Fines Citigroup Global Markets Inc. for Failed Supervisory System (BrokeAndBroker.com Blog)CFTC Charges Former Energy Broker and Its Owner with Misappropriation of Nonpublic Information, Fraud, and Supervision Violations (CFTC Release)Las Vegas Woman Pleads Guilty To $10 Million Tech Support Fraud Scheme That Exploited The Elderly / Technical Support Scheme Deceived More Than 7,500 Victims Across the United States and Canada, Many of Whom… [read post]
5 Dec 2011, 6:16 am
Securities and Exchange Commission and Citigroup Global Markets Inc. last week, Jenna Greene explores whether companies would settle with federal agencies if forced to admit wrongdoing. [read post]
11 Oct 2011, 9:27 am
The case is Citigroup Global Markets v. [read post]
15 Nov 2011, 8:14 am
These issues, and others, are discussed in greater detail after the jump.The Citigroup Litigation As discussed here, 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]
8 Nov 2011, 11:54 am
Judge Jed Rakoff has scheduled a hearing for Wednesday, November 9, 2011 to consider the proposed settlement.As discussed here, on Wednesday, October 19, 2011, the SEC announced a settlement with Citigroup's principal U.S. broker-dealer, Citigroup Global Markets, Inc., who has been charged with misleading investors about a $1 billion collateralized debt obligation ("CDO") tied to the housing market. [read post]
20 Sep 2007, 2:50 pm
"(NYSE News Release: NYSE Regulation Fines Citigroup Global Markets for Improper Market Timing of Mutual Funds by Brokers, July 24, 2007). [read post]
1 Sep 2023, 6:07 am
He was previously employed by Morgan Stanley (CRD# 149777), Citigroup Global Markets Inc. [read post]
