Search for: "Citigroup Global Markets,Inc."
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9 Oct 2012, 3:53 pm
On September 21, Citigroup Inc. [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]
24 Aug 2015, 7:16 am
From 2006, until June 2009, King was registered with Citigroup Global Markets Inc. [read post]
6 Feb 2009, 7:00 am
You can separately subscribe to the IP Think Tank Global Week in Review at the Subscribe page: [duncanbucknell.com] Highlights this week included: WTO report confirms USTR lost on key issue of whether China’s thresholds for criminal IP enforcement are too high (Managing Intellectual Property) (IP Justice) (IP Justice) (China Hearsay) (China Law Blog) US: Judd Gregg to be nominated as Secretary of Commerce (Inventive Step) (IP Watchdog) (Peter Zura's 271 Patent… [read post]
7 Aug 2007, 11:03 am
JUNE 6, 2007: NASD FINED CITIGROUP $3 MILLION FOR FAILURE TO SUPERVISE On June 6, 2007, the NASD fined Citigroup Global Markets, Inc., $3 million for its failure to adequately supervise a team of brokers based in Charlotte, NC, who used misleading sales materials during dozens of seminars and meetings for hundreds of employees of BellSouth Corporation. [read post]
31 Jan 2017, 9:30 pm
A year ago, Citigroup Global Markets, Inc., among other Citigroup subsidiaries, agreed to pay the U.S. [read post]
16 Jan 2015, 6:16 am
– $5 million Citigroup Global Markets Inc. [read post]
2 Jun 2009, 7:51 am
Mattel, Inc., 128 S. [read post]
24 Dec 2019, 11:00 am
Previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Staten Island, NY, Wells Fargo Advisors, LLC (CRD#:19616) of Red Bank, NJ and Citigroup Global Markets Inc. [read post]
15 May 2012, 10:00 pm
In connection with FINRA’s efforts, UBS Financial Services, Morgan Stanley, Wells Fargo and Citigroup Global Markets Inc. have agreed to pay $7.3 million in fines and $1.8 million in restitution, totaling $9.1 million. [read post]
25 Jun 2015, 6:18 am
From June 2003, until April 2009, Tricarico was associated with Citigroup Global Markets Inc. [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]
21 Mar 2018, 8:15 am
Kenneth Mathieson, according to his online, public BrokerCheck report with FINRA, was previously registered with Prudential Securities Inc. in New York, New York from September 1987 until November 1999, Citigroup Global Markets in New York from November 1999 until June 2009, Morgan Stanley in New York from June 2009 until April 2014 and Raymond James in New York from June 2014 until March 2017. [read post]
17 Mar 2022, 12:08 pm
(CRD#:8174), WAYZATA, MN 11/09/2001 – 02/12/2009, CITIGROUP GLOBAL MARKETS INC. [read post]
21 Nov 2008, 1:36 pm
(Financial Aspects of Intellectual Property) Climate change and Millenium Development Goals top agenda during UN Secretary General’s visit to WIPO (WIPO) Global - Trade Marks / Brands What every marketing department needs to know about trade marks (IP Spotlight) Forbes 2008 list of ‘Top-earning Dead Celebrities’ (Seattle Trademark Lawyer) Trade mark protection, broadcast rights vital for sports, say stakeholders (Intellectual Property Watch) How… [read post]
25 Sep 2009, 1:58 pm
” Id.Following Hall Street, the Fifth Circuit, in Citigroup Global Markets, Inc. v. [read post]
2 Jan 2018, 6:58 am
Previous registrations include Citigroup Global Markets Inc., Morgan Stanley DW Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, F&G Securities, Inc., and Diones & Company. [read post]
3 Oct 2014, 10:50 am
See In re Citigroup Global Markets, Inc., 258 S.W.3d at 626-27. [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]
9 Nov 2018, 6:39 am
Bindelglass also worked for Citigroup Global Markets, Inc. in Paramus, NJ from June 10, 2005 until June 1, 2009, FINRA notes. [read post]
