Search for: "CITIGROUP GLOBAL MARKETS INC"
Results 321 - 340
of 429
Sorted by Relevance
|
Sort by Date
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]
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]
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]
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]
21 Jun 2024, 6:00 am
Judge Likely to Reject $30 Billion Visa, Mastercard Fee Deal [Updated]Bloomberg Law – June 14, 2024 (subscription may be required) A $30 billion settlement between Visa Inc., Mastercard Inc. and retailers to cap credit-card swipe fees is likely to be rejected by a federal judge in Brooklyn, a setback in the two decade-long litigation. [read post]
24 Jun 2022, 7:23 am
In a joint stipulation filed by Costco Wholesale Corp. and the defendants, including Visa Inc., Mastercard Inc., Bank of America Corp., JPMorgan Chase & Co., Citigroup Inc., and Wells Fargo & Co., the parties told the court that the wholesale retailer “fully settled all of its claims against all of the defendants” but did not disclose details of the deal. . . . [read post]
24 Jun 2022, 9:58 am
In a joint stipulation filed by Costco Wholesale Corp. and the defendants, including Visa Inc., Mastercard Inc., Bank of America Corp., JPMorgan Chase & Co., Citigroup Inc., and Wells Fargo & Co., the parties told the court that the wholesale retailer “fully settled all of its claims against all of the defendants” but did not disclose details of the deal. . . . [read post]
10 Aug 2012, 3:13 pm
European and US regulators have been looking into whether a number of financial institutions rigged LIBOR, which is considered the global benchmark interest rate for banks to borrow from other banks in the London interbank market. [read post]
13 Mar 2009, 3:00 am
You can separately subscribe to the IP Think Tank Global Week in Review at the Subscribe page: [duncanbucknell.com] Highlights this week included: ICANN postpones limitless domain plan (Out-Law) (Intellectual Property Watch) (The Trademark Blog) ECJ: Database infringements depend on taking, not usage, of data: Apis-Hristovich EOOD v Lakorda AD (Out-Law) (IPKat) Norwegian Broadcasting Corporation sets up its own Bittorent tracker (Michael Geist) (TorrentFreak) (Ars Technica)… [read post]
5 Mar 2009, 4:00 am
You can separately subscribe to the IP Think Tank Global Week in Review at the Subscribe page: [duncanbucknell.com] Highlights this week included: Patent Reform Act of 2009 introduced in Senate and House of Representatives, 3 March (Anticipate This!) [read post]
21 Oct 2016, 7:35 am
From 1998 until June 2009 Aguilar was registered with Citigroup Global Markets Inc. [read post]
13 Oct 2010, 1:12 pm
” Citigroup Global Markets, Inc. v. [read post]
