Search for: "Citigroup Financial Products, Inc."
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21 Feb 2023, 7:04 am
[and assisted] Dynegy Inc. in manipulating [its] financial statements through similar conduct. [read post]
18 Aug 2015, 11:29 am
The Securities and Exchange Commission (SEC) announced this week that two Citigroup Affiliates, Citigroup Global Markets Inc. [read post]
6 Mar 2015, 2:57 pm
The Financial Industry Regulatory Authority’s (“FINRA”) February 2015 disciplinary actions release reported that on December 9, 2014, 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… [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… [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]
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]
30 Nov 2011, 8:19 am
Citigroup now stands to gain $70 million as it sells off the hedge-fund assets at the center of the product, Abbar alleges. [read post]
11 Oct 2011, 9:36 am
-based broker-dealer Citigroup Global Markets Inc., which was named in the arbitration suit the pair filed with the Financial Industry Regulatory Authority in August. [read post]
3 May 2016, 7:34 am
Chain, Inc., which developed the protocol in partnership with Nasdaq, Fidelity, Citi, and other financial firms, released the blockchain standard as open source software. [read post]
21 Jan 2012, 11:54 am
Last month, a US judge refused Citigroup’s request to overturn a $54.1M arbitration award that a Financial Industry Regulatory Authority arbitration panel had ordered the financial firm to pay investors Gerald D. [read post]
30 Dec 2011, 3:17 pm
Citigroup Global Markets, Inc., 11 Civ. 7387, Dec. 27, 2012, (memorandum order). [read post]
12 May 2015, 2:47 pm
The issuer is not required to maintain a secondary market, and, like most structured products, there may be no buyer if the investor needed to liquidate the RCN prior to maturity. [read post]
3 May 2012, 8:15 pm
(WFC), UBS AG (UBSN), Morgan Stanley (MS), and Citigroup Inc. [read post]
29 Sep 2008, 7:39 am
"Wachovia did not fail," the F.D.I.C. said, "rather it is to be acquired by Citigroup Inc. on an open-bank basis with assistance from the F.D.I.C. [read post]
19 Jan 2021, 8:16 am
Hanaur & Company, Smith Barney Inc., Citigroup Global Markets Inc., Wells Fargo Clearing Services LLC and is currently working for Raymond James & Associates, Inc. [read post]
18 Aug 2015, 6:23 am
From January 2003, until May 2007, Honingstock was registered with UBS Financial Services, Inc. [read post]
11 Oct 2011, 9:27 am
Oct. 6 (Bloomberg) -- A Citigroup Inc. unit sued two Saudi investors seeking to block Financial Industry Regulatory Authority arbitration of their $383 million claim that the bank “wiped out” their family’s wealth. [read post]
16 Feb 2016, 12:06 pm
Doucet and Margie Doucet (collectively “Claimants”) $307,000 for losses stemming from investments in direct participation programs (“DPPs”) involving non-traded real estate investment trusts (“REITs”), promissory note programs, master limited partnerships (“MLPs”) and private oil drilling programs offered by VSR Financial Services, Inc. [read post]
2 May 2012, 6:29 am
FINRA announced that it has fined 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]
