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1 May 2012, 2:22 pm
FINRA announced that it 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... [read post]
FINRA Proposal Giving Collective Actions Exemption from Arbitration Gains SEC’s Accelerated Approval
24 Apr 2012, 11:13 am
Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change , FINRA, January 5, 2012 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, SEC, April 9, 2012 (PDF) More Blog Posts: FINRA Says Charles Schwab Corp. is Making Customers Waive Right to Pursue Class Action Lawsuits, Stockbroker Fraud Blog, February 8, 2012 Citigroup Global Markets Inc. [read post]
10 Apr 2012, 2:19 pm
In other stockbroker fraud news, Citigroup Inc. [read post]
2 Apr 2012, 6:15 am
Okay, follow me… Weyerheuser Lumber Company had a finance company they called Weyerheuser Mortgage Company, or WMC… and they sold it in 1997 or 1998 for $192 million to a company called Apollo Global Management, which was founded by Leon Black in 1990, and today manages an estimated $100 billion in assets. [read post]
31 Mar 2012, 8:17 pm
Patricia Collantes was fined $8,000 and suspended from association with any FINRA member in any principal capacity in relation to findings that while acting as Operating Manager at Citigroup Global Markets Inc. in Palo Alto, California, Ms. [read post]
30 Mar 2012, 10:58 am
Citigroup Global Markets, Inc., 2012 WL 851807 (2d Cir. [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]
28 Mar 2012, 3:00 am
Citigroup Global Markets Inc., Dkt No. 11-5227-cv-(Lead) (2d Cir. 2012), presents issues related to international practice only indirectly. [read post]
27 Mar 2012, 11:39 am
Citigroup Global Markets, Inc., 2011 W.L. 5903733 (S.D.N.Y.), Judge Jed S. [read post]
19 Mar 2012, 5:58 pm
Citigroup Global Markets, Inc., No. 11-5227-cv, slip op. 11-12 (2d Cir. [read post]
19 Mar 2012, 10:48 am
Court of Appeals for the Second Circuit issued a stay of proceedings in a case brought against Citigroup Global Markets Inc. by the Securities and Exchange Commission. [read post]
18 Mar 2012, 10:58 am
Citigroup Global Markets Inc., 2d Cir., No. 11-5227, 3/15/12). [read post]
16 Mar 2012, 10:00 am
Citigroup Global Markets Inc., No. 11-5227-cv (2d Cir., Mar. 15, 2012). [read post]
15 Mar 2012, 10:50 pm
Citigroup Global Markets, Inc. had been scheduled for July 2012. [read post]
15 Mar 2012, 12:00 pm
Securities and Exchange Commission and Citigroup Global Markets Inc. are likely to prevail in showing the New York judge was out of line in rejecting their $285 million settlement last fall. [read post]
15 Mar 2012, 10:54 am
Citigroup Global Markets, Inc, CA-2, No. 11-5227, March 15, 2012)The panel had no reason to doubt the SEC’s representation that the settlement it reached is in the public interest. [read post]
15 Mar 2012, 8:35 am
This morning, the Second Circuit's Motion Panel granted the SEC's motion to stay the District Court proceedings in the litigation against Citigroup Global Markets, Inc. while the appellate court considers whether it should set aside Judge Rakoff's decision refusing to approve the settlement between the parties. [read post]
14 Mar 2012, 8:43 am
Among the other market crisis cases brought by the SEC are proceedings against: • RBC Capital Markets LLC who was named in a September 2011 settled administrative proceeding brought by the SEC for misconduct relating to the sale of unsuitable investments (credit-linked notes that were tied to the performance of synthetic collateralized debt obligations or "CDOs") to five Wisconsin school districts; • Thomas Wu, the former CEO of United Commercial Bank, who was… [read post]
24 Feb 2012, 11:10 am
The SEC came under fire by Judge Jed Rakoff last year, when he blasted the SEC for reaching a settlement with Citigroup Global Markets Inc. that did not require the company to admit or deny wrongdoing in connection with a failed mortgage-backed securities fund, and refused to sign off on the deal. [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]
