Search for: "Citigroup Funding, Inc."
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21 Feb 2023, 7:04 am
Its shares trade on the New York Stock Exchange (NYSE), and its largest shareholders include other major investment firms like The Vanguard Group, BlackRock Fund Advisors, and Berkshire Hathaway, Inc. [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]
26 May 2010, 1:14 pm
FINRA imposed a monetary sanction of $1.5 million against Citigroup Global Markets Inc. for supervisory violations relating to its handling of trust funds belonging to cemeteries in Michigan and Tennessee. [read post]
14 Aug 2009, 8:34 am
The Bankruptcy Estate of Terra Securities ASA and seven Norwegian municipalities have filed a securities fraud action against Citigroup Global Markets, Inc. and related entities, as reported in the Wall Street Journal and news wires. [read post]
21 Oct 2011, 7:44 am
The SEC has charged Citigroup Global Markets Inc. with misleading investors about a $1 billion CDO called Class V Funding III. [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]
15 Dec 2014, 9:26 am
Citigroup, Inc. has reportedly agreed to pay a $3 million fine for failing to properly deliver prospectuses to some customers. [read post]
10 Nov 2011, 5:25 am
Citigroup Global Markets Inc, No. 11-07387 (S.D.N.Y). [read post]
27 May 2010, 5:08 am
WASHINGTON andmdash; The Financial Industry Regulatory Authority (FINRA) announced today that it has imposed a monetary sanction of $1.5 million against Citigroup Global Markets Inc. for supervisory violations relating to its handling of trust funds belonging to cemeteries in Michigan and Tennessee. [read post]
2 May 2012, 6:14 am
("Citigroup"), Morgan Stanley, UBS Financial Services, Inc. [read post]
1 Jun 2010, 5:02 am
On May 26, 2010, FINRA announced “that it has imposed a monetary sanction of $1.5 million against Citigroup Global Markets Inc. for supervisory violations relating to its handling of trust funds belonging to cemeteries in Michigan and Tennessee. [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]
25 Aug 2009, 6:58 pm
“A major fund-raiser for Barack Obama, Hillary Clinton and other Democrats was charged by federal prosecutors in New York in connection with a scheme to defraud Citigroup Inc (C.N). [read post]
19 Oct 2011, 6:50 am
The settlement concerns a $1 billion mortgage-bond deal called Class V Funding III that was created by Citigroup in 2007, people familiar with the matter told the Journal. [read post]
8 Mar 2009, 8:17 am
The Delaware chancery court has decided two very important cases arising out of notorious cases of managerial malfeasance or neglect - In re Citigroup Inc Shareholder Derivative Litigation, decided February 24, and American International Group, Inc. [read post]
30 Nov 2011, 8:19 am
Below is Bloomberg piece about our client's $383 million FINRA arbitration claim against Citigroup Global Markets, Inc. related to hedge funds, private equity, and derivatives. [read post]
10 Aug 2011, 6:19 pm
(Smith Barney is a division of Citigroup Global Markets, Inc. and is now doing business as part of Morgan Stanley Smith Barney, LLC.) [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]
29 Jun 2011, 1:58 pm
A 35-year-old former vice president of banking giant Citigroup Inc. returned from a trip to Bangkok, Thailand, on Sunday to learn that there was a warrant out for his arrest. [read post]
3 Jul 2014, 5:00 am
The Director Compensation Project: CITIGROUP INC. [read post]
