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19 Feb 2015, 10:00 pm
Citigroup Inc., 4:14-cv-00183-RLW (E.D. [read post]
3 Feb 2015, 1:16 pm
Similar settlements were reached in July 2014 with Citigroup Inc. for nearly $200 million and in November 2013 with J.P. [read post]
16 Jan 2015, 12:01 pm
No.2: Citigroup Inc. fined for $15 millionReason for Fine: Not adequately protecting against “potential selective dissemination of non-public research to clients and sales and trading staff. [read post]
16 Jan 2015, 6:16 am
– $5 million Citigroup Global Markets Inc. [read post]
15 Dec 2014, 9:26 am
Citigroup, Inc. has reportedly agreed to pay a $3 million fine for failing to properly deliver prospectuses to some customers. [read post]
11 Dec 2014, 4:35 am
See this recent case for discussion of some of these issues.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in July 2011 public customer Claimants Jiovino and Route 36 East LLC alleged causes of action against Citigroup Global Markets, Inc. [read post]
10 Dec 2014, 4:48 pm
Eight U.S. firms would currently be identified as GSIBs under the proposal: Bank of America Corporation, The Bank of New York Mellon Corporation, Citigroup Inc., The Goldman Sachs Group, Inc., JPMorgan Chase & Co., Morgan Stanley, State Street Corporation, and Wells Fargo & Company…The proposal builds on a GSIB capital surcharge framework agreed to by the Basel Committee on Banking Supervision (BCBS), augmented to address risks to U.S. financial stability. [read post]
4 Dec 2014, 10:09 am
Citigroup Global Markets Inc., 827 F. [read post]
30 Nov 2014, 3:18 am
Finally, analysts at Citigroup Inc. reiterated a “buy” rating on shares of The Procter & Gamble Company in a research note on Monday, August 4th. [read post]
25 Nov 2014, 6:45 am
However, when Citigroup detected violations involving selective dissemination and client communications, there were lengthy delays before the firm disciplined the research analysts and the disciplinary measures lacked the severity necessary to deter repeat violations of Citigroup policiesFor more information - FINRA Fines Citigroup Global Markets Inc. $15 Million for Supervisory Failures Related to Equity Research and Involvement in IPO Roadshows | Business… [read post]
25 Nov 2014, 5:37 am
Citigroup Inc. [read post]
21 Nov 2014, 7:01 am
Bank’s repurchase claims against Citigroup Global Markets Realty Corp. [read post]
16 Nov 2014, 12:26 pm
See Citigroup Inc. v. [read post]
31 Oct 2014, 7:57 pm
Wal-Mart Stores, Inc. v. [read post]
28 Oct 2014, 11:31 am
Citigroup (N.D. [read post]
5 Oct 2014, 5:08 pm
Citigroup Inc., No. 9587, final report issued (Del. [read post]
3 Oct 2014, 10:50 am
See In re Citigroup Global Markets, Inc., 258 S.W.3d at 626-27. [read post]
23 Sep 2014, 12:52 am
Cir. 2012); Citigroup Inc. v. [read post]
22 Sep 2014, 10:37 am
Inc. v. [read post]
4 Sep 2014, 10:46 am
Citigroup Global Mkts., Inc. v. [read post]
