Search for: "CITIGROUP INC."
Results 1 - 20
of 1,151
Sort by Relevance
|
Sort by Date
2 May 2024, 12:35 pm
He was affiliated with firms like RBC Capital Markets, UBS Financial Services Inc., and Citigroup Global Markets Inc. [read post]
24 Apr 2024, 12:17 pm
., Bank of America Corp. and Citigroup Inc. [read post]
22 Apr 2024, 9:50 am
Citigroup, Inc. 47 Cal.4th 610 (2009)) that stated the receipt of restricted stock shares constituted wages, but the Court of Appeal distinguished the two cases. [read post]
22 Apr 2024, 6:51 am
” “Judge’s Citi Investment Doesn’t Merit Recusal, Ethics Panel Says” — “A federal appellate court judge with a stake in Citigroup Inc. doesn’t need to recuse himself from the banking industry’s challenge to an $8 cap on credit card late fees, a federal judiciary oversight committee said. [read post]
18 Apr 2024, 9:01 pm
One of the hallmarks of PCCE is that it brings together academics, regulators, and industry professionals, and allows us to have candid conversations about corporate misconduct and the ways in which we can all work together to improve compliance. [read post]
15 Apr 2024, 6:48 am
.'” “Fifth Circuit Judge Don Willett, one of the judges presiding over the case, has disclosed owning stock in Citigroup Inc., which he said amounts to roughly $2,000 in his child’s education savings account. [read post]
9 Apr 2024, 12:15 am
Citigroup, Inc. [read post]
26 Jan 2024, 8:27 am
According to his FINRA BrokerCheck profile, Rodriguez was affiliated with the following firm during his career: 06/01/2009 – 09/03/2021, MORGAN STANLEY (CRD#:149777), EL PASO, TX, B, 08/05/2008 – 06/01/2009, CITIGROUP GLOBAL MARKETS INC. [read post]
25 Jan 2024, 8:35 am
According to his FINRA BrokerCheck profile, McKelvey was affiliated with the following firm during his career: 06/01/2009 – 05/05/2022, MORGAN STANLEY (CRD#:149777), Southlake, TX, B, 11/07/2008 – 06/01/2009, CITIGROUP GLOBAL MARKETS INC. [read post]
10 Nov 2023, 7:01 am
(CRD#:6363) of Los Angeles, CA, Citigroup Global Markets Inc. [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]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
1 Sep 2023, 6:44 am
Clarice Saw (Clarice Crystal Saw CRD 2633118, aka “Chin Saw,” “Clarice Chin Saw”) was previously employed by Cetera Investment Advisers LLC (CRD# 105644 and 1540) of Flushing, NY, Citigroup Global Markets Inc. [read post]
1 Sep 2023, 6:07 am
He was previously employed by Morgan Stanley (CRD# 149777), Citigroup Global Markets Inc. [read post]
31 Aug 2023, 8:09 am
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc. [read post]
29 Aug 2023, 1:10 pm
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc. [read post]
20 Aug 2023, 9:01 pm
The decision provides an important roadmap, in light of the Supreme Court’s 2021 decision in Goldman Sachs Group, Inc. v. [read post]
16 Aug 2023, 8:21 am
Citigroup Inc., No. 22-1000-bk (Bankr. [read post]
8 Aug 2023, 11:25 am
According to FINRA broker report, William Weisbrod and Lilia Nia were reportedly affiliated with the following firms during their careers, among others: William Weisbrod: B – 4/27/2009-2/18/2021, Purshe Kaplan Sterling Investments (CRD#:35747), Fairfield, NJ B – 04/22/2005 – 02/06/2009, Citigroup Global Markets INC. [read post]
31 Jul 2023, 12:40 pm
(CRD#:7059), NEW YORK, NY B, 11/07/2016 – 09/28/2021, CITIGROUP GLOBAL MARKETS INC. [read post]
