Search for: "Citigroup Trust"
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29 Jan 2024, 12:00 pm
The SEC accused the wire house and Passi of breaching the trust of sellers by leaking non-public information about impending block trades to gain an advantage, violating federal securities laws. [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]
8 Aug 2023, 11:25 am
In other words, it’s a violation of the trust that one person places in another. [read post]
7 Jul 2023, 12:53 pm
Unauthorized Investment Offerings: Brokers may use their position of trust and authority to solicit investments in ventures that are not approved or offered by their brokerage firm. [read post]
20 Apr 2023, 8:08 am
According to McKinsey, a majority of consumers value digital trust, yet few companies are actively mitigating digital risks. [read post]
7 Apr 2023, 4:15 am
[Jersey] No. 3 Ltd. v Citigroup Global Mkts. [read post]
12 Oct 2022, 12:22 pm
LLC Citigroup S. [read post]
Marriage Conflicts (Allegations) — Judge Refuses Recusal, Third Circuit Says Ethical Screen Suffices
12 May 2022, 8:10 am
“Judge Won’t Recuse From Citi Cases Over Husband’s Law Firm Ties” — “A federal judge in New York said Thursday that she won’t recuse herself from two cases involving Citigroup Inc. over her husband’s job at a law firm that frequently services the banking giant. [read post]
14 Dec 2021, 9:00 am
In addition to the two Wells Fargo divisions, FINRA identified similar supervisory failures in four other firms including Stifel Nicolaus, Oppenheimer, Merrill Lynch and Citigroup. [read post]
3 Nov 2021, 8:30 am
Its total of £1.4 billion comes mainly from big banks such as JPMorgan Chase, Citigroup, and Goldman Sachs. [read post]
2 Nov 2021, 8:49 am
SECURITY AND TRUSTS / AGENCY Argentina has trusts and agency rules which are governed by contractual constructs. [read post]
13 Jul 2021, 5:30 am
Now I couldn’t trust them? [read post]
8 Jul 2021, 2:10 am
Leadership (Can the person build trust, develop talent, and articulate the company’ [read post]
8 Jul 2021, 2:10 am
This may have been triggered by the appointment of Jane Fraser as the new CEO of Citigroup—a move that led some commentators to express concerns that Fraser was being put on a glass cliff. [read post]
20 Apr 2021, 8:40 am
"LIBOR proved to be easily manipulated when banking authorities around the globe found extensive collusion by megabanks like JPMorgan, Citigroup, Barclays, Deutsche Bank, UBS, and the Royal Bank of Scotland, to fix the LIBOR to their own advantage," said Rep. [read post]
11 Feb 2021, 8:10 am
., Citigroup Inc., Goldman Sachs Group Inc., JPMorgan Chase & Co., and Wells Fargo Co. [read post]
29 Jan 2021, 3:30 am
Continue reading "A Case for Breaking the Money Trust"The post A Case for Breaking the Money Trust appeared first on Jotwell. [read post]
30 Jun 2020, 2:15 pm
Wells Fargo holds $34.6 billion in CLOs, while JPMorgan & Co. holds $20.5 billion and Citigroup Inc. $18.1 billion. [5] Like CDOs, CLOs are arranged in tiers, so that the cash flow from borrowers’ payments goes to the highest-grade bondholders first, then the next highest-grade, and so on down the line.[6] In good times, the lower tiers can experience tremendous returns. [7] But in bad times, those tiers are the first to experience losses. [read post]
24 May 2020, 8:19 am
An ETF is a registered investment trust whose shares represent an interest in a portfolio of securities that track an underlying benchmark or index. [read post]
