Search for: "Citigroup Global Markets,Inc."
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25 Jul 2008, 7:17 pm
Those firms include UBS Financial Services, Bear, Stearns & Co., Inc., Citigroup Global Markets, Inc., J.P. [read post]
13 Mar 2015, 12:04 pm
Inc. v. [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 2015, 12:04 pm
Inc. v. [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]
14 Mar 2012, 8:43 am
Among the other market crisis cases brought by the SEC are proceedings against: • RBC Capital Markets LLC who was named in a September 2011 settled administrative proceeding brought by the SEC for misconduct relating to the sale of unsuitable investments (credit-linked notes that were tied to the performance of synthetic collateralized debt obligations or "CDOs") to five Wisconsin school districts; • Thomas Wu, the former CEO of United Commercial Bank, who was… [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]
25 Jan 2024, 8:35 am
According to his FINRA BrokerCheck profile, McKelvey was affiliated with the following firm during his career: 06/01/2009 – 05/05/2022, MORGAN STANLEY (CRD#:149777), Southlake, TX, B, 11/07/2008 – 06/01/2009, CITIGROUP GLOBAL MARKETS INC. [read post]
9 Dec 2016, 7:25 am
From September 2005 through February 2011 Kievman was associated with Citigroup Global Markets Inc. [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]
12 Sep 2018, 10:06 am
From August 2002 to June 2009, Musso was registered with Citigroup Global Markets Inc. [read post]
3 Dec 2012, 7:08 am
Citigroup Global Markets Inc.). [read post]
6 Jan 2020, 2:12 pm
Zara was employed by Citigroup Global Markets Inc. at the time. [read post]
7 Dec 2018, 6:08 am
Bruce Plyer has 6 disclosures on FINRA BrokerCheck Report, and has worked for 29 years in the securities industry at 4 different firms, including the following: • International Assets Advisory, LLC in Morristown, NJ — December 22, 2016 to February 28, 2017 • Morgan Stanley, Florham Park, NJ — June 1, 2009 to December 23, 2016 • Citigroup Global Markets Inc. [read post]
24 Jul 2018, 10:59 am
From February 2006 to June 2009, Gibbons was registered with Citigroup Global Markets, Inc. [read post]
31 Mar 2012, 8:17 pm
Patricia Collantes was fined $8,000 and suspended from association with any FINRA member in any principal capacity in relation to findings that while acting as Operating Manager at Citigroup Global Markets Inc. in Palo Alto, California, Ms. [read post]
28 Sep 2022, 12:37 pm
Citigroup Global Markets Inc. [read post]
6 Dec 2006, 9:30 am
., Engage Technologies, Inc., Firepond, Inc., IXL Enterprises, Inc., Sycamore Networks, Inc., and VA Linux Corp. [read post]
