Search for: "Citigroup Global Markets,Inc."
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9 Jun 2009, 8:15 am
The existence of complex interactions among participants and products in the global financial markets has become more apparent. [read post]
31 Mar 2020, 6:40 am
VelocityShares 3x Inverse Crude Oil ETN is an exchange-traded note issued by Citigroup Global Markets Holdings Inc. and guaranteed by Citigroup Inc. [read post]
3 Aug 2016, 2:30 pm
Margiotta was employed by UBS Financial Services Inc. from October 2008 to June 2015, and with Citigroup Global Markets Inc. from December 2003 to November 2008, as well as other prior firms. [read post]
17 Mar 2009, 12:41 pm
Citigroup Global Markets v. [read post]
11 Aug 2012, 1:56 pm
Another broker who was recently cleared of wrongdoing is former Citigroup Global Markets Inc. [read post]
24 Jun 2016, 1:55 pm
DiVenuto was employed by Citigroup Global Markets, Inc. from 1994 to 2009, according to BrokerCheck. [read post]
26 May 2012, 7:05 pm
Citigroup Global Markets, Inc. go to trial. [read post]
29 Mar 2012, 5:20 pm
In a letter to the court, the SEC cited the Second Circuit Appeals Court’s decision earlier this month to stay a district court judge’s ruling turning down the Commission’s proposed $285M settlement with Citigroup Global Markets Inc. [read post]
17 Feb 2016, 4:11 am
That's a relatively easy market to enter. [read post]
8 Dec 2011, 2:00 am
This difference between American banks and banks in China speaks volumes about the global lending market. [read post]
2 Jul 2007, 11:32 am
JUNE 6, 2007: NASD FINED CITIGROUP $3 MILLION FOR FAILURE TO SUPERVISE On June 6, 2007, the NASD fined Citigroup Global Markets, Inc., $3 million for its failure to adequately supervise a team of brokers based in Charlotte, NC, who used misleading sales materials during dozens of seminars and meetings for hundreds of employees of BellSouth Corporation. [read post]
2 Jun 2008, 6:06 am
There is a little uncertainty about whether (and when) argument will be held in the additional case In re Citigroup Global Markets, Inc., No. 08-0289, petition, which is currently abated. [read post]
22 Jun 2012, 6:44 am
Citigroup Global Markets, Inc. [read post]
1 Jul 2019, 12:43 pm
Citigroup Global Markets Inc Merrill Lynch, Pierce, Fenner & Smith Inc Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
23 Feb 2012, 10:53 am
., Wells Fargo & Company, Citigroup Inc. and Ally Financial Inc. was reached by the federal government and 49 state attorneys general to address mortgage loan servicing and foreclosure abuses. [read post]
19 May 2017, 8:27 am
Bennett worked with five firms between 1987 and 2015: Wheat First Securities, Inc., in Charlotte, North Carolina; Legg Mason Wood Walker, Incorporated, in Baltimore, Maryland; Citigroup Global Markets Inc. in New York, New York; Royal Alliance Associates, Inc., in Washington, D.C.,; and Western International Securities, Inc., in Washington, D.C. [read post]
27 Oct 2011, 10:35 am
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]
12 Aug 2015, 9:08 am
– $250,000 Central States Capital Markets, LLC – $60,000 Citigroup Global Markets Inc. [read post]
4 Mar 2011, 12:32 pm
Deutsche Bank AG (PDF) Massachusetts’ Uniform Securities Act More Blog Posts: Credit Suisse Broker Previously Convicted for Selling High Risk ARS is Barred from Future Securities Law Violations, Institutional Investors Securities Blog, February 12, 2011 Merrill Lynch Doesn’t Have to Arbitrate ARS Claims by LSED, Says Appeals Court, Institutional Investors Securities Blog, December 22, 2010 Citigroup Global Markets to Pay Back $95.5M Over ARS Sold to… [read post]
