Search for: "Citigroup Global Markets,Inc."
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5 Mar 2009, 12:06 pm
., Credit Suisse Securities (USA) LLC, Barclays Capital Inc., Bear Stearns & Co., Countrywide Securities Corp., Deutsche Bank Securities Inc., JPMorgan Chase Inc., Bank of America Corp., Citigroup Global Markets Inc., McGraw-Hill Cos., Moody's Investor Services Inc., and Fitch Ratings Inc., over allegations that they made false statements in the prospectus and registration statement for certificates that… [read post]
28 Nov 2011, 1:35 pm
Citigroup Global Markets, Inc., SD NY, 11 Civ. 7387, Nov. 28, 2011.An application of judicial power that does not rest on facts is inherently dangerous, emphasized the court, adding that the injunctive power of the judiciary is not a free roving remedy to be invoked at the whim of a regulatory agency, even with the consent of the regulated. [read post]
24 Jul 2007, 11:37 am
(NYSE News Release: NYSE Regulation Fines Citigroup Global Markets for Improper Market Timing of Mutual Funds by Brokers, July 24, 2007). [read post]
7 Jul 2023, 12:53 pm
” Previously, Caldwell was registered as a General Securities Representative with Citigroup Global Markets Inc. from July 3, 2012, to November 12, 2021, when she voluntarily resigned from the firm. [read post]
10 Feb 2011, 6:50 am
The respondents in the cased include Citigroup Global Markets Inc., operating under the name Smith Barney, and Citigroup Alternative Investments LLC. [read post]
1 Aug 2014, 11:00 am
’” In Citigroup Global Markets Inc. v. [read post]
17 Mar 2009, 6:00 pm
District Court for the Southern District of Texas vacated the award, (Citigroup Global Markets, Inc. [read post]
11 May 2012, 6:27 pm
Inc. v. [read post]
15 Oct 2020, 4:07 am
“In the Citigroup Global Markets proceeding, Citigroup Global Markets moved for sanctions, including attorneys’ fees, against both defendant and his attorney, plaintiff, August 4, 2017. [read post]
14 Aug 2007, 9:30 am
On June 6, 2007, the NASD fined Citigroup Global Markets, Inc., $3 million to settle charges relating to the use of misleading materials in retirement seminars and meetings for BellSouth employees in North and South Carolina. [read post]
20 Sep 2007, 2:50 pm
"(NYSE News Release: NYSE Regulation Fines Citigroup Global Markets for Improper Market Timing of Mutual Funds by Brokers, July 24, 2007). [read post]
19 Dec 2011, 8:33 am
Citigroup Global Markets, Inc., SD NY, 11 Civ. 7387, Nov. 28, 2011.The SEC's long-standing policy of allowing defendants to enter into consent judgments without admitting or denying the underlying allegations deprived the court of even the most minimal assurance that the substantial injunctive relief it is being asked to impose has any basis in fact.The SEC took the position that, because the financial institution did not expressly deny the allegations, the… [read post]
11 Feb 2008, 4:45 am
On October 25, 2007, the Citigroup Global Markets Inc., Goldman Sachs Credit Partners L.P., Deutsche Bank Securities Inc., and Deutsche Bank Trust Company Americas (collectively, the â [read post]
20 Aug 2015, 9:30 pm
Securities and Exchange Commission’s (SEC) recent finding that Citigroup Global Markets Inc. and Citigroup Alternative Investments LLC had made misleading and false representations to certain investors, the SEC announced that the two Citigroup affiliates had agreed to pay nearly $180 million to settle the charges. [read post]
6 Apr 2018, 11:33 am
“The clobbering tech shares have taken in recent days has magnified not only how influential these companies have become in people’s everyday lives, but how much sway they have gained in global stock markets,” the Wall Street Journal recently noted. [read post]
19 Nov 2009, 12:13 pm
Mattel, Inc. 128 S.Ct. 1396 (2008) and the Fifth Circuit ruling in Citigroup Global Markets, Inc. v. [read post]
3 May 2018, 1:40 pm
Palmer was previously employed with: Citigroup Global Markets, Inc. [read post]
31 Oct 2007, 4:00 pm
On June 6, 2007, the NASD fined Citigroup Global Markets, Inc., $3 million to settle charges relating to the use of misleading materials in retirement seminars and meetings for BellSouth employees in North and South Carolina. [read post]
14 Feb 2012, 12:39 pm
Settlement Issues Last month, we included a lengthy discussion of the events in SEC's case against Citigroup Global Markets, Inc., which was seemingly settled in October 2011, only to have Judge Jed Rakoff reject the settlement. [read post]
16 Dec 2011, 5:10 am
Citigroup Global Markets Inc, No. 11-07387 (S.D.N.Y). [read post]
