Search for: "Citigroup, Inc."
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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]
12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these ETFs. [read post]
12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these ETFs. [read post]
15 Jul 2014, 5:29 am
Citigroup Inc. [read post]
14 Jul 2010, 1:44 pm
Citing a similar suit that was dismissed in part from the Delaware Court of Chancery (In re Citigroup Inc. [read post]
27 Dec 2011, 2:42 pm
Annuity News Now Harrington Investments, Inc., (HII) a socially responsible investment advisory firm has filed shareholder resolutions calling on Citigroup, Bank of America, and JP Morgan Chase to stop indemnifying directors against civil and criminal liabilities. [read post]
19 Oct 2011, 9:08 am
"Citigroup wins in employees' stock drop appeal": Reuters has a report that begins, "A federal appeals court said Citigroup Inc was not liable to thousands of workers who said it should not have offered bank stock in its retirement plans because it knew the stock was a bad investment. [read post]
27 Dec 2011, 10:49 am
A Colorado federal judge upheld a $54.1 million arbitration award against Citigroup Global Markets, Inc. [read post]
8 Apr 2014, 3:57 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in February 2012, Claimant Citigroup Global Markets, Inc. asserted breach of contract for failure to pay the balance due on a promissory note. [read post]
28 Oct 2010, 6:00 am
Financial giant Citigroup Inc. joins a long list of financial services companies being charged with gender discrimination. [read post]
27 Jun 2011, 1:37 pm
Attorney’s Office Eastern District of New York on June 27, 2011 released the following press release: “Gary Foster, a former vice president in Citigroup, Inc. [read post]
2 Nov 2009, 8:15 pm
Citigroup, Inc. [read post]
29 May 2012, 4:08 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has 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. [read post]
11 Nov 2010, 5:27 pm
The ARS were told by Citigroup to LandAmerica 1031 Exchange Services Inc. before the latter folded in 2008. [read post]
9 Dec 2011, 7:55 am
There's more on this case on the firm's website at http://www.riklawfirm.com/ Citigroup’s Mathur Said to Depart With Hybrid Traders as Pandit Cuts Jobs By Donal Griffin - Dec 9, 2011 Citigroup Inc. [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]
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]
27 Aug 2015, 9:01 am
From the Desk of Jim Eccleston at Eccleston Law LLC: Two Citigroup affiliates, Citigroup Global Markets Inc. [read post]
28 May 2010, 9:20 pm
According to the Financial Industry Regulatory Authority, Citigroup Global Markets Inc. has consented to pay $1.5 million in disgorgement and fines for failing to properly supervise broker Mark Singer and his handling of trust funds belonging to two cemeteries. [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]
