Search for: "CITIGROUP GLOBAL MARKETS INC"
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29 Dec 2020, 12:04 pm
(CRD#:6363), Morgan Stanley Smith Barney (CRD#:149777) and Citigroup Global Markets 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]
23 Nov 2011, 9:16 pm
To settle FINRA accusations that it used misleading marketing materials when selling Wells Timberland REIT, Inc., Wells Investment Securities, Inc. has agreed to pay a $300,000 fine, as well as to an entry of the findings. [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]
11 Feb 2008, 4:45 am
On October 25, 2007, the Citigroup Global Markets Inc., Goldman Sachs Credit Partners L.P., Deutsche Bank Securities Inc., and Deutsche Bank Trust Company Americas (collectively, the â [read post]
26 Sep 2022, 1:56 pm
His former employers are Citigroup Global Markets Inc. [read post]
20 Sep 2011, 6:36 am
., a former investment banker at Citigroup Global Markets Inc. in New York; Maher Kara's brother, Mounir Fayez Kara, also known as Michael F. [read post]
20 Sep 2011, 6:36 am
., a former investment banker at Citigroup Global Markets Inc. in New York; Maher Kara's brother, Mounir Fayez Kara, also known as Michael F. [read post]
27 Apr 2007, 3:21 am
Citigroup Global Mkts., Inc., No. 05-4362, 2007 U.S. [read post]
18 Aug 2015, 6:23 am
Upon leaving from UBS, from May 2007, through June 2009, Honingstock was associated with Citigroup Global Markets Inc. [read post]
18 Jan 2017, 5:00 am
Citigroup Global Markets Inc., December 23, 2016).Arbitration. [read post]
5 Mar 2009, 12:06 pm
., Credit Suisse Securities (USA) LLC, Barclays Capital Inc., Bear Stearns & Co., Countrywide Securities Corp., Deutsche Bank Securities Inc., JPMorgan Chase Inc., Bank of America Corp., Citigroup Global Markets Inc., McGraw-Hill Cos., Moody's Investor Services Inc., and Fitch Ratings Inc., over allegations that they made false statements in the prospectus and registration statement for certificates that… [read post]
9 Jun 2014, 6:06 am
District Court for the Southern District of New York in which the district court declined to approve a settlement of claims that the SEC brought against Citigroup Global Markets Inc. [read post]
4 Mar 2011, 12:32 pm
Deutsche Bank AG (PDF) Massachusetts’ Uniform Securities Act More Blog Posts: Credit Suisse Broker Previously Convicted for Selling High Risk ARS is Barred from Future Securities Law Violations, Institutional Investors Securities Blog, February 12, 2011 Merrill Lynch Doesn’t Have to Arbitrate ARS Claims by LSED, Says Appeals Court, Institutional Investors Securities Blog, December 22, 2010 Citigroup Global Markets to Pay Back $95.5M Over ARS Sold to… [read post]
24 Jul 2007, 4:46 pm
The Smith Barney unit of Citigroup Global Markets Inc. will pay a fine of $10 million to the NYSE, and a fine of $5 million to the State of New Jersey, related to a "separate regulatory matter arising out of the same conduct. [read post]
13 Feb 2013, 2:50 pm
Oral argument was held before a Second Circuit panel reviewing a district court’s decision refusing to approve a proposed consent judgment between the SEC and Citigroup Global Markets, Inc. because it did not have adequate information to determine whether the proposed consent judgment was fair, reasonable, adequate, and in the public interest. [read post]
15 Mar 2012, 10:50 pm
Citigroup Global Markets, Inc. had been scheduled for July 2012. [read post]
9 Nov 2011, 8:21 am
Citigroup Global Markets, Inc, SD NY, 11-CIV 7387, Rakoff, J).Noting that the US Supreme Court has expressly endorsed the entry of consent decrees notwithstanding a defendant’s explicit denial of material allegations of the complaint, the SEC said that there is nothing unusual or untoward about a consent decree entered into without an admission of wrongdoing by the defendant, and that criticism of consent decrees for not including such an admission is… [read post]
19 Dec 2011, 2:26 am
Tamara de Silva December 19, 2011 Last Thursday December 15, 2011 was MF Global Holdings Ltd.'s and MF Global Inc.'s Chief Executive Jon Corzine's third time to testify before Congress. [read post]
19 Dec 2011, 7:21 am
District Court for the Central District of California (now a partner at Arent Fox): The Court’s recent decision rejecting the proposed settlement reached by the Securities and Exchange Commission and Citigroup Global Markets, Inc. is both understandable but also potentially problematic. [read post]
