Search for: "CITIGROUP GLOBAL MARKETS INC" Results 261 - 280 of 428
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25 Jul 2008, 7:17 pm
Those firms include UBS Financial Services, Bear, Stearns & Co., Inc., Citigroup Global Markets, Inc., J.P. [read post]
26 Nov 2019, 7:12 am by Silver Law Group
According to FINRA Disciplinary actions for October 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS   Clay, Nathaniel   Laidlaw & Company (UK) LTD   National Securities Corp   Gennity, William   First Standard Financial Company   Alexander Capital   Germano, Anthony   Wells Fargo Advisors Financial Network   UBS… [read post]
31 Oct 2012, 6:38 am by Neil Rosenbaum
Citigroup Global Markets, Inc., where the Southern District of New York held that it could not approve a settlement that similarly permitted the defendant to settle without admitting to any of the allegations against it. [read post]
13 Jan 2014, 2:48 pm by WIMS
<> Green Bond Principles Created to Help Issuers and Investors Deploy Capital for Green Projects - Bank of America Corporation (NYSE: BAC), Citigroup Inc. [read post]
1 Sep 2011, 11:58 am
For example, on August 9, FINRA announced a $500,000 fine paid by Citigroup Global Markets Inc. for its failure to supervise, Tamara Moon, a registered sales assistant in its Palo Alto, Calif., office. [read post]
20 Mar 2009, 7:00 am
You can separately subscribe to the IP Think Tank Global Week in Review at the Subscribe page: [duncanbucknell.com] &nbsp; Highlights this week included: WIPO review of UDRP disputes - record number of complaints handled by WIPO in 2008 (WIPO) (Out-Law) (Michael Geist) (Managing Intellectual Property) (Class 46) (Intellectual Property Watch) (Law360) Goverment outlines new creative industries&rsquo; Digital Rights Agency proposed in Digital Britain report (Out-Law) (IP finance)… [read post]
25 Jun 2015, 1:29 pm by D. Daxton White
Ziegler and Company Benchmark Securities Bernardi Securities BMO Capital Markets GKST BNY Mellon Capital Markets BOSC Central States Capital Markets Citigroup Global Markets City Securities Corporation Davenport & Company Dougherty & Co First National Capital Markets George K. [read post]
19 Aug 2015, 9:56 am by Adam Weinstein
From September 2005, until June 2009, Kaplan was registered with Citigroup Global Markets Inc. [read post]
19 Oct 2018, 2:25 pm by Malecki Law Team
Within her 28 years in the securities industry, Dawn Bennett was registered with Wheat, First Securities, Inc. (03/1987-08/1996), Legg Mason Wood Walker, Inc. (08/1996-02/2006), CitiGroup Global Markets Inc. (02/2006), Royal Alliance Associates, Inc. (02/2006-10/2009), and Western International Securities, Inc. (10/2009-12/2015). [read post]
14 Mar 2012, 8:43 am by William McGrath
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]
17 Sep 2017, 7:30 pm by Wolfgang Demino
Important factors that could cause or contribute to such differences include: investor response to the offerings of the asset-backed securities by each of NCSLT 2007-3 and NCSLT 2007-4, including the terms of the notes offered by each trust and the size and structure of the transactions; conditions in the financial markets, including the capital markets generally and the student loan asset-backed securities sector specifically; completion of the pricing of the asset-backed… [read post]
26 Nov 2019, 7:02 am by Silver Law Group
According to FINRA Disciplinary actions for October 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Acca, Lisa   Arive Capital Markets   Global Arena Capital Partners   Bailey, Michael   PFS Investments   Primerica Financial Services  … [read post]
9 Nov 2020, 2:43 am by Deb Givens
  The defendants included affiliates of Bank of America Corp, Barclays Plc, Citigroup Inc, Goldman Sachs Group Inc, JPMorgan Chase & Co, Morgan Stanley, Royal Bank of Canada and Wells Fargo & Co. [read post]
26 Nov 2019, 6:50 am by Silver Law Group
According to FINRA Disciplinary actions for October 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Bender, Charles   Suntrust Investment Services, Inc   JP Morgan Securities   Bingham, Daniel   Essex Securities   Investors Capital Corp   Devaney,… [read post]