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10 Jul 2012, 6:00 am
The largest reported individual settlement for the first half of 2012 was Raj Rajaratnam’s $92.8 million settlement with the SEC, while the largest company settlement was with Citigroup Global Markets, Inc. for $285 million. [read post]
9 Jul 2012, 4:21 pm
For example, in America Online, Inc. v. [read post]
22 Jun 2012, 6:44 am
Citigroup Global Markets, Inc. [read post]
16 Jun 2012, 9:28 pm
The Ex-Morgan Stanley Smith Barney broker (and before that he worked for predecessor company Citigroup Global Markets Inc. [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]
29 May 2012, 4:08 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $3.5 million for providing inaccurate mortgage performance information, supervisory failures and other violations in connection with subprime residential mortgage-backed securitizations. [read post]
26 May 2012, 7:05 pm
Citigroup Global Markets, Inc. go to trial. [read post]
22 May 2012, 3:57 pm
FINRA announced today that it fined Citigroup Global Markets, Inc. $3.5 million for providing inaccurate mortgage performance information, supervisory failures and other violations in connection with subprime residential mortgage-backed securitizations (RMBS). [read post]
17 May 2012, 12:09 pm
On Monday, May 14, 2012, both the SEC and the Citigroup Global Markets, Inc. filed their appellate briefs (available here and here) in the three consolidated appeals regarding Judge Jed Rakoff's November 28, 2011 Opinion and Order rejecting the SEC's proposed settlement with Citigroup. [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]
12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for… [read post]
12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for… [read post]
11 May 2012, 6:27 pm
Inc. v. [read post]
7 May 2012, 2:07 pm
FINRA recently has announced that it has sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [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]
4 May 2012, 6:02 pm
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $725,000 for failing to disclose certain conflicts of interest in its research reports and research analysts’ public appearances. [read post]
3 May 2012, 8:15 pm
(WFC), UBS AG (UBSN), Morgan Stanley (MS), and Citigroup Inc. [read post]
2 May 2012, 6:29 am
FINRA announced that it has fined 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]
2 May 2012, 6:14 am
The Financial Industry Regulatory Authority ("FINRA") has fined Citigroup Global Markets, Inc. [read post]
