Search for: "Citigroup Derivatives Markets, Inc."
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8 Nov 2023, 10:14 pm
The regulator sanctioned 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]
1 Sep 2023, 6:07 am
He was previously employed by Morgan Stanley (CRD# 149777), Citigroup Global Markets Inc. [read post]
31 Mar 2023, 6:18 am
As of February 2019, the defendants were participants in five VPFCs with Citibank under which nearly 29.5 million Knight-Swift shares were pledged.In August 2019, the defendants asked Citigroup Global Markets Inc. [read post]
19 Oct 2019, 9:37 am
See Citigroup Inc. v. [read post]
4 Feb 2019, 6:28 am
Mattress Firm Inc. [read post]
3 Dec 2018, 11:27 am
A preliminary $182M settlement has been reached in a benchmark rigging lawsuit between investors and banks Citigroup Inc. [read post]
17 Jun 2016, 6:05 am
Securities and Exchange Commission, on Wednesday, June 15, 2016 Tags: Asset management, Audit trail, Capital formation, Compliance and disclosure interpretation, Cybersecurity,Derivatives, Dodd-Frank Act, Equity capital, Executive Compensation, FAST Act, JOBS Act, Oversight, SEC, SEC enforcement, Securities enforcement, Securities regulation, Swaps, Transparency, Whistleblowers Is the Stock Market Just a Side Show? [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]
26 Aug 2014, 10:13 am
Citigroup Global Markets Inc.Case number: 11-cv-07387 (United States District Court for the Southern District of New York)Case filed: October 19, 2011Qualifying Judgment/Order: August 5, 2014 08/21/2014 11/19/2014 2014-84 SEC v. [read post]
24 Jan 2014, 12:57 am
In many jurisdictions, corporate officials sued for their actions undertaken in their corporate capacity may be able to defend themselves in reliance on the “business judgment rule. [read post]
24 Jan 2014, 12:57 am
In many jurisdictions, corporate officials sued for their actions undertaken in their corporate capacity may be able to defend themselves in reliance on the “business judgment rule. [read post]
15 Jan 2014, 2:22 pm
., Inc. and Century Securities Associates Inc. [read post]
15 Jan 2014, 12:11 am
The banks that have been identified or made announcements regarding Forex regulatory investigations to date include: Barclays, Citigroup, Inc., Credit Suisse AG, Deutsche Bank, Goldman Sachs Group, HSBC, JP Morgan Chase & Co., Morgan Stanley, Royal Bank of Scotland, Standard Chartered and UBS. [read post]
7 May 2013, 6:34 am
According to media, an Ohio pension fund, the Sheet Metal Workers Local 33 Cleveland District Pension Plan, is seeking damages against Goldman Sachs, Citigroup Inc. and ten other banks that, according to the pension fund, have restrained competition for credit default swaps (CDS) in violation of federal antitrust law. [read post]
12 Oct 2012, 5:40 pm
Settles Securities Violation Charges with Industry Bar, FINRA Contacts Broker-Dealers About Conflicts of Interest Via Sweeps Letters, & Regulators Examine Financial Market Infrastructures, Institutional Investor Securities Blog, August 8, 2012 The 11th Circuit Revives SEC Fraud Lawsuit Against Morgan Keegan Over Auction-Rate Securities, Institutional Investor Securities Blog, May 8, 2012 Citigroup Inc. [read post]
24 Jul 2012, 11:49 am
JPMorgan Chase & Co., Citigroup Inc., Bank of America, HSBC and Deutsche Bank AG, are all reportedly in the crosshairs. [read post]
15 Jun 2012, 11:30 am
In a Motion to Suppress and a Motion to Dismiss, the defendants raised issues regarding DOJ's relationship with Control Components, Inc. [read post]
29 May 2012, 6:05 pm
Citigroup Global Markets Inc. [read post]
15 May 2012, 10:00 pm
In connection with FINRA’s efforts, UBS Financial Services, Morgan Stanley, Wells Fargo and Citigroup Global Markets Inc. have agreed to pay $7.3 million in fines and $1.8 million in restitution, totaling $9.1 million. [read post]
7 May 2012, 7:09 am
Citigroup Global Markets Inc., Morgan Stanley, UBS Financial Services Inc. and Wells Fargo recently agreed to pay $9.1 million to settle allegations that they sold leveraged and inverse exchange-traded funds to clients who had no business investing in the complex instruments. [read post]
