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6 Apr 2010, 12:56 pm
In its first enforcement action involving a broker-dealer stock borrow program, the Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, Inc. $650,000 for disclosure and supervisory violations relating to the operation of its Direct... [read post]
1 Mar 2010, 7:11 pm
You can separately subscribe to the IP Think Tank Global Week in Review at the Subscribe page: http://duncanbucknell.com/subscribe/ Highlights this week included: Chairman Leahy announces ‘tentative agreement in principle’ on Patent Reform Bill (Patent Docs) (IP Watch) (Patently-O) (IAM) CAFC reverses ITC finding of non-infringement of design patent: Crocs, Inc v ITC (Inventive Step) (ITC Law Blog) (Class 99) (IP Frontline) Global Global… [read post]
1 Mar 2010, 7:11 pm
You can separately subscribe to the IP Think Tank Global Week in Review at the Subscribe page: http://duncanbucknell.com/subscribe/ Highlights this week included: Chairman Leahy announces ‘tentative agreement in principle’ on Patent Reform Bill (Patent Docs) (IP Watch) (Patently-O) (IAM) CAFC reverses ITC finding of non-infringement of design patent: Crocs, Inc v ITC (Inventive Step) (ITC Law Blog) (Class 99) (IP Frontline) Global Global… [read post]
9 Feb 2010, 10:53 am
., a case brought by a group of former WorldCom, Inc. shareholders against Salomon Smith Barney & Co (Citigroup Global Markets, Inc.) and its financial analyst Jack Grubman. [read post]
19 Jan 2010, 5:00 am
In Citigroup Global Markets Inc. v. [read post]
18 Jan 2010, 1:02 pm
Two months ago we reported that Citigroup Global Markets, Inc. had asked a New York court to dismiss a $72 million lawsuit filed against it by KV Pharmaceutical Co. [read post]
8 Jan 2010, 7:46 am
Halfway through the decade, the world as a whole was experiencing perhaps the greatest runup in aggregate global asset prices ever seen; though the situation appeared to be cresting, no one foresaw imminent collapse. [read post]
17 Dec 2009, 6:33 am
The February 2009 Delaware Court of Chancery decision in In Re Citigroup Inc. [read post]
19 Nov 2009, 12:13 pm
Mattel, Inc. 128 S.Ct. 1396 (2008) and the Fifth Circuit ruling in Citigroup Global Markets, Inc. v. [read post]
28 Oct 2009, 11:25 pm
According to NYSER: • Citigroup Global Markets Inc. allegedly cancelled 365 market-on-close (MOC) orders after the cutoff time at 3:40 ET on four 2007 trade dates and submitted, between December 9 2008 and January 5, 2009, 12,480 limited-on-close (LOC) orders after the cutoff time on 18 trade dates. [read post]
28 Oct 2009, 2:54 am
See Citigroup Global Markets, Inc. v. [read post]
19 Oct 2009, 6:14 am
The Board of Directors of the Company has received the opinion of Citigroup Global Markets Inc., dated as of the date of this Agreement, to the effect that, as of such date, the Class A Merger Consideration is fair, from a financial point of view, to the holders of shares of Company Class A Common Stock (other than those holders who are also holders of Company Class B Common Stock and their Affiliates). [read post]
12 Oct 2009, 1:32 pm
FINRA announced that it has fined Citigroup Global Markets Inc. $600,000 and censured the firm for failing to supervise complex trading strategies designed in part to minimize potential tax liabilities. [read post]
12 Oct 2009, 12:38 pm
Citigroup Global Market, Inc. has filed a motion to dismiss an action against it by KV Pharmaceuticals Co. arising out of sales of auction rate securities, according to an August 25 article in Law360 by Christine Caufield entitled "Citigroup Argues KV Pharma Knew ARS Risks. [read post]
25 Sep 2009, 1:58 pm
” Id.Following Hall Street, the Fifth Circuit, in Citigroup Global Markets, Inc. v. [read post]
4 Sep 2009, 1:02 pm
Moon is also accused of recordkeeping violations, falsifying account records, forging signatures on letters asking for unauthorized address changes, and taking part in unauthorized trades while employed with Citigroup Global Markets. [read post]
14 Aug 2009, 8:34 am
The Bankruptcy Estate of Terra Securities ASA and seven Norwegian municipalities have filed a securities fraud action against Citigroup Global Markets, Inc. and related entities, as reported in the Wall Street Journal and news wires. [read post]
11 Aug 2009, 4:58 am
As 5th Circuit Court of Appeals explained in Citigroup Global Markets, Inc. v. [read post]
6 Aug 2009, 5:22 pm
Ct. 1396 (2008), and about two of the most frequently cited cases construing Hall Street's dictum on manifest disregard of the law — Citigroup Global Markets, Inc. v. [read post]
5 Aug 2009, 6:45 am
After oral argument in this case, other judges from this court addressed that question in another case - Citigroup Global Markets, Inc. v. [read post]
