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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]
15 Feb 2012, 2:40 pm
Also according to Bloomberg, the affidavit in support of the section 11 production orders obtained in this case (see below) indicate that the Bureau was informed that HSBC Holdings Plc, JPMorgan Chase & Co., Citigroup Inc. [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]
13 Feb 2012, 3:40 pm
Also according to Bloomberg, the affidavit in support of the section 11 production orders obtained in this case (see below) indicate that the Bureau was informed that HSBC Holdings Plc, JPMorgan Chase & Co., Citigroup Inc. [read post]
3 Feb 2012, 11:43 am
Global Markets, Inc. case, focusing on the fact that a number of the companies appear to be repeat offenders and asking in his October 27, 2011 Order: The proposed judgment imposes injunctive relief against future violations. [read post]
26 Jan 2012, 6:00 am
FINRA has fined Citigroup Global Markets, Inc. $725,000 for failing to disclose certain conflicts of interest in its research reports (published from January 2007 through March 2010) and research analysts' public appearances. [read post]
25 Jan 2012, 11:03 am
Citigroup Global Markets, Inc. [read post]
21 Jan 2012, 11:54 am
Citigroup Global Markets sold them through MAT Finance LLC. [read post]
19 Jan 2012, 10:21 pm
FINRA says that Citigroup Global Markets will pay a fine of $725K for not disclosing specific conflicts of interest during public appearances made by research analysts and in research reports. [read post]
18 Jan 2012, 2:05 pm
FINRA 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]
18 Jan 2012, 12:31 am
This issue has recently been addressed in the case of Citigroup, Inc. v. [read post]
13 Jan 2012, 8:54 am
These cases and other matters from the last month are discussed in greater detail after the jump.The SEC's Appeal in the Citigroup Global Markets Appeal It is remarkable to think that it has been less than three months since the SEC announced its $285 million settlement with Citigroup Global Markets, Inc. under the usual neither-admit-nor-deny standard. [read post]
13 Jan 2012, 8:54 am
These cases and other matters from the last month are discussed in greater detail after the jump.The SEC's Appeal in the Citigroup Global Markets Appeal It is remarkable to think that it has been less than three months since the SEC announced its $285 million settlement with Citigroup Global Markets, Inc. under the usual neither-admit-nor-deny standard. [read post]
13 Jan 2012, 8:09 am
Citigroup Global Markets, Inc. appeal, requesting that the Second Circuit reject the "potentially dangerous, approach to reviewing settlement agreements" in Judge Jed Rakoff's November 28, 2011 decision in the lower court.Judge Rakoff's decision to reject the proposed settlement with Citigroup Global Markets criticized the policy of accepting settlements without an admission of liability. [read post]
12 Jan 2012, 4:09 pm
There was a report about the case on the 5RB Website as well as in the Press Gazette and the Lawyer. 7.4.11 SIOC/11/0428 Halyvourgiki Inc v Citigroup Global Markets Ltd. [read post]
11 Jan 2012, 10:11 am
The SEC’s announcement stated that this new policy involves only a “minority” of its enforcement actions, and is “separate from and unrelated” to the recent rejection by the United States District Court for the Southern District of New York of its proposed $285 million settlement with Citigroup Global Markets Inc. arising from the bank’s lucrative short trading bets against a billion dollar collateralized debt obligation (CDO)… [read post]
3 Jan 2012, 10:32 am
Citigroup Global Markets, Inc. was discussed in some detail in our Top 10 piece last Friday. [read post]
30 Dec 2011, 3:17 pm
Citigroup Global Markets, Inc., 11 Civ. 7387, Dec. 27, 2012, (memorandum order). [read post]
30 Dec 2011, 7:27 am
The Citigroup Case: Judge Rakoff's Decision and the Potential Impact on How SEC Cases Proceed. [read post]
29 Dec 2011, 9:47 am
On Wednesday, December 28, 2011, the Second Circuit Court of Appeals stayed the SEC's case against Citigroup Global Markets, Inc. [read post]
