Search for: "CITIGROUP GLOBAL MARKETS INC"
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20 Sep 2011, 10:00 am
The Fifth Circuit emphatically concluded in Citigroup Global Markets Inc. v. [read post]
20 Sep 2011, 6:36 am
., a former investment banker at Citigroup Global Markets Inc. in New York; Maher Kara's brother, Mounir Fayez Kara, also known as Michael F. [read post]
20 Sep 2011, 6:36 am
., a former investment banker at Citigroup Global Markets Inc. in New York; Maher Kara's brother, Mounir Fayez Kara, also known as Michael F. [read post]
15 Sep 2011, 12:10 pm
., the Morgan Stanley part of the June 2009 joint venture with Morgan Stanley andamp; Co. and the Smith Barney division of Citigroup Global Markets, Inc., is no stranger to e-mail problems. [read post]
8 Sep 2011, 4:17 pm
In exchange for the their business, companies such as Citigroup Inc, Wells Fargo & Co, SunTrust Banks Inc. and Countrywide allegedly required reinsurance partnerships on generous terms that violated the Real Estate Settlement Procedures Act, a 1974 law prohibiting abusive home sales practices. [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]
10 Aug 2011, 6:19 pm
(Smith Barney is a division of Citigroup Global Markets, Inc. and is now doing business as part of Morgan Stanley Smith Barney, LLC.) [read post]
9 Aug 2011, 2:35 pm
The FINRA fined Citigroup Global Markets, Inc. $500,000 for failing to supervise Tamara Moon, a former registered sales assistant at the firm's branch office in Palo Alto, California. [read post]
9 May 2011, 12:31 am
On 7 April 2011 there was a Statement in Open Court in the case of Halyvourgiki Inc v Citigroup Global Markets Ltd. [read post]
12 Apr 2011, 1:34 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel in Denver has ordered Citigroup Global Markets, Inc. to pay over $54 million in damages for its abusive conduct in marketing and managing various investments including municipal bond hedge funds known as MAT/ASTA. [read post]
12 Apr 2011, 11:58 am
Sophisticated investors won a $54 million arbitration award against Citigroup Global Markets Inc. related to the MAT leveraged municipal arbitrage hedge fund. [read post]
12 Apr 2011, 11:58 am
Sophisticated investors won a $54 million arbitration award against Citigroup Global Markets Inc. related to the MAT leveraged municipal arbitrage hedge fund. [read post]
4 Mar 2011, 12:32 pm
Deutsche Bank AG (PDF) Massachusetts’ Uniform Securities Act More Blog Posts: Credit Suisse Broker Previously Convicted for Selling High Risk ARS is Barred from Future Securities Law Violations, Institutional Investors Securities Blog, February 12, 2011 Merrill Lynch Doesn’t Have to Arbitrate ARS Claims by LSED, Says Appeals Court, Institutional Investors Securities Blog, December 22, 2010 Citigroup Global Markets to Pay Back $95.5M Over ARS Sold to… [read post]
24 Feb 2011, 7:23 am
According to the report, Chairman Bair admitted: “We were told by the New York Fed that problems would occur in the global markets if Citi were to fail. [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]
10 Feb 2011, 11:56 am
Fuld Jr., ex-Lehman Chief Financial Officers Erin Callan and Christopher O'Meara, 9 Lehman directors, and 33 others firms, including Wells Fargo Securities, Citigroup Global Markets Inc., and Mellon Financial Markets. [read post]
10 Feb 2011, 7:14 am
I think the story in the Times put it pretty succinctly… “Out of the five major mortgage servicers — Bank of America Corp., Wells Fargo & Co., JPMorgan Chase & Co., Ally Financial and Citigroup Inc. [read post]
10 Feb 2011, 6:50 am
The respondents in the cased include Citigroup Global Markets Inc., operating under the name Smith Barney, and Citigroup Alternative Investments LLC. [read post]
20 Jan 2011, 11:00 am
The World Stock Market Performance chart offers a snapshot of global stock market performance, as measured by the MSCI All Country World Index. [read post]
22 Dec 2010, 9:40 am
Global-Tech Appliances v. [read post]
