Search for: "Citigroup Inc "
Results 141 - 160
of 1,146
Sorted by Relevance
|
Sort by Date
31 Jul 2014, 6:00 am
A Citigroup business unit operating an alternative trading system (ATS) has been charged with failing to protect the confidential trading data of its subscribers.New York-based LavaFlow Inc. has agreed to pay $5 million to settle the SEC’s charges, including a $2.85 million penalty that is the agency’s largest to date against an ATS.An ATS is a venue that executes stock trades on behalf of broker-dealers and other traders. [read post]
31 Jan 2010, 6:32 pm
Gevurtz has posted The Role of Corporate Law in Preventing a Financial Crisis: Reflections on 'In Re Citigroup Inc. [read post]
21 Jan 2011, 7:40 am
The Special Inspector General for the TARP Program released, on Jan. 13, 2011, a Report on Extraordinary Financial Assistance Provided to Citigroup, Inc. [read post]
8 Oct 2008, 10:32 am
[JURIST] Citigroup Inc., Wachovia Corp. and Wells Fargo & Co. [read post]
29 Dec 2011, 9:47 am
On Wednesday, December 28, 2011, the Second Circuit Court of Appeals stayed the SEC's case against Citigroup Global Markets, Inc. [read post]
28 Nov 2011, 11:55 pm
Ebay Inc. v. [read post]
26 Jan 2007, 11:01 am
Citigroup, Inc. [read post]
19 Jan 2012, 10:21 pm
Citi settles with Finra over alleged conflicts at its brokerage, Investment News, January 20, 2012 Finra Fines Citigroup $725,000 For Alleged Research Violations, The Wall Street Journal, January 18, 2012 Financial Industry Regulatory Authority More Blog Posts: Citigroup’s $285M Settlement With the SEC Is Turned Down by Judge Rakoff, Stockbroker Fraud Blog, November 28, 2011 Citigroup Global Markets Inc. [read post]
24 Nov 2008, 11:23 pm
"), which is itself a rather improbable number.Now comes word that our political class is considering upping that ante, to the tune of almost 8 trillion dollars:"The U.S. government is prepared to provide more than $7.76 trillion on behalf of American taxpayers after guaranteeing $306 billion of Citigroup Inc. debt yesterday. [read post]
28 Mar 2011, 12:26 pm
Court of Appeals for the Federal Circuit today issued its ruling in Citigroup Inc. v. [read post]
4 Sep 2009, 1:02 pm
Citigroup Inc. sales assistant Tamara Lanz Moon has been barred from the securities industry by the Financial Industry Regulatory Authority. [read post]
21 Oct 2008, 3:17 pm
Italian multinational, dairy and food corporation, Parmalat, initiated a trial five months ago against Citigroup Inc. which backfired. [read post]
27 Mar 2012, 8:13 pm
FINRA says that Citigroup Inc. subsidiary Citi International Financial Services LLC must pay over $1.2M in restitution, fines, and interest over alleged excessive markdowns and markups on agency and corporate bond transactions and supervisory violations. [read post]
13 Jan 2012, 8:09 am
Citigroup Global Markets, Inc. appeal, requesting that the Second Circuit reject the "potentially dangerous, approach to reviewing settlement agreements" in Judge Jed Rakoff's November 28, 2011 decision in the lower court.Judge Rakoff's decision to reject the proposed settlement with Citigroup Global Markets criticized the policy of accepting settlements without an admission of liability. [read post]
5 Jun 2008, 12:30 am
Student-loan company Brazos Group Inc. is $12 billion in debt, $7 billion of which it is unable to purchase back, refinance, or restructure. [read post]
9 Jan 2009, 8:01 am
As reported in various media outlets, Senators Schumer and Durbin reached an agreement with Citigroup, Inc. on changes to the proposed bankruptcy mortgage modification bill, over exaggeratedly named Helping Families Save Their Homes in Bankruptcy Act of 2009 . [read post]
17 Sep 2004, 6:52 am
In Friday's corporations and securities law news, Japan's Financial Services Agency has ordered Citigroup Inc. to close its Japanese private banking offices after discovering a failure to prevent suspected money laundering, lax screening of customer information and improper trading practices. [read post]
12 Apr 2011, 1:34 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel in Denver has ordered Citigroup Global Markets, Inc. to pay over $54 million in damages for its abusive conduct in marketing and managing various investments including municipal bond hedge funds known as MAT/ASTA. [read post]
27 Dec 2017, 7:41 am
FINRA Sanctions Citigroup Global Markets Inc. $11.5 Million for Displaying Inaccurate Research Ratings (FINRA Press Release) http://www.finra.org/newsroom/2017/finra-sanctions-citigroup-global-markets-115-million-inaccurate-research-ratingsThe Financial Industry Regulatory Authority fined Citigroup Global Markets Inc. [read post]
17 Aug 2018, 2:57 am
Among my favorite tunes was one that often reminds me of Wall Street: "Chain of Fools"Citigroup to Pay More Than $10 Million for Books and Records Violations and Inadequate Controls (SEC Press Release 2018-155)https://www.sec.gov/news/press-release/2018-155-0Citigroup Inc. and its U.S. broker-dealer subsidiary Citigroup Global Markets Inc. [read post]
