Search for: "CITIGROUP GLOBAL MARKETS INC"
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11 Aug 2012, 1:56 pm
Another broker who was recently cleared of wrongdoing is former Citigroup Global Markets Inc. [read post]
25 Jun 2018, 8:19 am
From October 2005 to June 2009, Bernstein was registered with Citigroup Global Markets Inc. [read post]
26 May 2012, 7:05 pm
Citigroup Global Markets, Inc. go to trial. [read post]
15 Jul 2014, 6:27 am
Prior to Sterne Agee, Mustaphalli was registered with Citigroup Global Markets Inc. [read post]
16 Jul 2008, 9:25 pm
Those firms include UBS Financial Services, Bear, Stearns & Co., Inc., Citigroup Global Markets, Inc., J.P. [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]
21 Apr 2009, 2:40 am
" In a separate complaint also filed on April 16, 2009, Braintree Laboratories and related entities sued Citigroup Global Markets in the District of Massachusetts (complaint here). [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]
15 Jan 2014, 6:21 am
From 2004 through October 2008, Anglin was a registered representative of Citigroup Global Markets, Inc. [read post]
12 Jul 2018, 6:06 am
From 1998 to 2009, Rankin was registered with Citigroup Global Markets Inc. [read post]
3 Oct 2014, 10:50 am
See In re Citigroup Global Markets, Inc., 258 S.W.3d at 626-27. [read post]
30 Jan 2019, 1:06 pm
Pro-Integrity Securities Evans, Makisha Feitelnerg, Brendan United Planners Financial Services LPL Financial LLC Jimenez, Mario Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Justafort, Frantz JP Morgan Securities LLC Chase Investment Services Maddox, Nicholas TCFG Wealth Management LLC US Bancorp Investments Gustavo Madrigal-Flores JP Morgan Securities … [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]
13 Mar 2015, 12:04 pm
Inc. v. [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]
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]
13 Feb 2011, 7:00 pm
Kindred has obtained financing commitments from JPMorgan Chase, Morgan Stanley and Citigroup Global Markets in connection with the pending transaction and expects to have in place $1.9 billion of long term financing, of which an estimated $1.6 billion will be in place at closing. [read post]
